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Brazing RODS
.125" x .050" x 20"
3.175mm x 1.27mm x 508mm
BRAZING RODS FOR JOINING COPPER, BRASS AND
BRONZE
PACKAGED IN CONVENIENT PLASTIC TUBES
1lb / 454g, 1/2lb / 227g & 1/4lb / 113g
15% SILVER Brazing rods
6% SILVER Brazing rods
15% Silver, 5% Phosphorus, balance Copper Best alloy at filling gaps when close fit-ups cannot be made
Highest joint ductility and strength in HVAC-R applications
Phosphorus acts as a fluxing agent when joining copper to copper. When joining brass use LENOX Brazing Flux (331932/WS78172)
Temperature: Melt 1190° F, Flow 1475° F
Meets AWS BCup-5
| | | | WEIGHT | | CARTON QTY |
|---|---|---|---|---|---|
| WOR PROD NO | LENOX PROD NO | Description | LB | G | |
| 331740 | WS78171 | Brazing Rods | 1 | 454 | 12 |
5% SILVER Brazing rods
5% Silver, 6% Phosphorus, balance Copper Similar to 15% silphos with the ability to fill gaps and form fillets without adversely affecting strength
Phosphorus acts as a fluxing agent when joining copper to copper. When joining brass use LENOX Brazing Flux (331932/WS78172)
Temperature: Melt 1190° F, Flow 1495° F
Meets AWS BCuP-3
| WOR PROD NO | LENOX PROD NO | Description | LB | G | QTY |
|---|---|---|---|---|---|
| 331746 | WS78165 | Brazing Rods | 1 | 454 | 12 |
| 331747 | WS78163 | Brazing Rods | 1/4 | 113 | 12 |
18
6% Silver, 7.5% Phosphorus, balance Copper
Similar to 15% silphos with the ability to fill gaps and form fillets without adversely affecting strength
Phosphorus acts as a fluxing agent when joining copper to copper. When joining brass use LENOX Brazing Flux (331932/WS78172)
Temperature: Melt 1190° F, Flow 1460° F
Meets AWS BCuP-4
| | | | WEIGHT | |
|---|---|---|---|---|
| WOR PROD NO | LENOX PROD NO | Description | LB | G |
| 331751 | WS78168 | Brazing Rods | 1 | 454 |
| 331752 | WS78166 | Brazing Rods | 1/4 | 113 |
O% SILVER Brazing rods
0% Silver, 7.25% Phosphorus, balance Copper Phosphorus acts as a fluxing agent when joining copper to copper. When joining brass use LENOX Brazing Flux (331932/WS78172)
Very fluid, medium temperature brazing alloy Temperature: Melt 1310° F, Flow 1460° F Meets AWS BCuP-2
| WOR PROD NO | LENOX PROD NO | Description | LB | G | QTY |
|---|---|---|---|---|---|
| 331738 | WS78162 | Brazing Rods | 1 | 454 | 12 |
Customer Service 877-974-8672
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Ticketing Office – Internship
(Seasonal, Non-Exempt)
Overview
Come be a part of the Minnesota State Fair Ticket Office team! Are you looking to take your first step into the entertainment industry? Look no further! The Minnesota State Fair Ticket Office is a great way to see behind the scenes of how the public purchases tickets to attend the State Fair and Grandstand shows!
Essential Functions
* Sell entertainment and admission tickets to State Fair customers using a computerized ticketing system while providing general information.
* Provide exceptional customer service for a diverse customer base through a safe, clean and friendly environment.
* Answer questions regarding events, tickets and schedules via phone and in person.
* Reconcile and balance money and inventory at the end of each shift.
* Maintain a calm and positive attitude while under pressure.
* Assist with tasks assigned by either the immediate supervisor or general manager as needed.
Required Qualifications
* Effective written and oral communication skills.
* Customer service skills.
* Basic computer skills with experience using Microsoft Excel and Word.
* Ability to work non-traditional office hours with a variable schedule, including weekends.
* The schedule for this position will vary from week to week based on applicant's skill set and availability.
* Reliable transportation to and from work.
*
Available to work June – September. Extended hours during peak times and consecutive days without time off are required. Limited days off from Aug. 13 – Sept 3.
* Extended hours in August and during the Fair are required.
Preferred Qualifications
* Previous experience in an office setting.
Apply today!
Submit resume and cover letter to [email protected] Include "Ticketing Office – Internship" in email subject line.
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4. Learning about AI
Shetland
What we did
On Shetland, Members of Children’s Parliament worked with Maria Bell from digital consultancy company Mesomorphic and, remotely, Lydia France from the Alan Turing Institute (ATI). As a majority of the class in this location were new to the project this school year, it was necessary to adjust the focus of these sessions to allow more time and space for the children to learn some more general ideas and principles in relation to AI and children’s human rights. So rather than launching straight into working on the children’s ideas on how and what people should learn about AI, the first sessions focused on an exploration of real-world localised issues and how AI might be utilised to help. Lydia from ATI joined via video call to talk about a collaboration between ATI and the Met Office which aims to use AI to improve weather forecasting. The children on Shetland had recently experienced a period of very heavy snowfall which had had wide-reaching effects, and so the design challenge that Maria set Members of Children’s Parliament focused on imagining ways in which AI could be used to help solve the various problems which extreme weather can cause on the islands.
On the following day, Members of Children’s Parliament worked with local artist Jono Sandilands, who brought two printing presses into the classroom and led the children through a sign-making workshop. These signs reflected the children’s thoughts and feelings on the work of the previous day with a particular focus on what they had learned about AI and why they felt it was important for children to learn about AI and children’s rights. Meanwhile, the ‘Little Mission’ which the other schools also completed around this time focused specifically on the theme of ‘learning about AI’. Some of the quotes in this section are from the ‘Little Mission’ classroom activities.
What the children told us
The Members of Children’s Parliament in Shetland (and across the project) have consistently told us that they think it is important for children to learn about AI, that they have valued learning about it alongside learning about their rights, and that it is important to them that this learning is fun and creative. There were a variety of reasons given for why children should learn about AI and their rights. Members of Children’s Parliament spoke about the increasing prevalence of AI now and what that would mean for their futures; they referenced the importance of understanding how the technologies work and how to use them for the sake of making informed choices and making the most of the opportunities that AI affords; and they spoke about the importance of education for keeping them safe.
“I like learning about AI creatively with my friends.”
Member of Children’s Parliament, Shetland
Image: Members of Children’s Parliament work with local artist, Jono Sandilands.
“We think they need to know how powerful [AI is] and what you can do with AI.”
Member of Children’s Parliament, Shetland
“If something goes wrong and no adults are there, children don’t know what to do.”
Member of Children’s Parliament, Shetland
Children’s Parliament observed a preoccupation with issues around AI and safety, and the importance of children learning about AI in order to stay safe. The views and worries expressed mirrored those that we found when talking specifically about safety and security with the AI Team in Glasgow: the concerns often centered on the need for children to ‘keep their data safe’, not give away personal information or passwords, and to be wary of other online risks.
“Children need to know about AI so they can be safe online.”
Member of Children’s Parliament, Shetland
“If you put private information online you put yourself at risk.”
Member of Children’s Parliament, Shetland
That there was not always a specific link made to AI technologies suggests two things. Firstly, the existing focus within Scotland’s Curriculum for Excellence on teaching children about online safety in the context of what they can do individually has been successful in raising children’s awareness of the issue. Secondly, this understanding does not currently extend to broader privacy concerns around the use of children’s data in training AI systems or how AI systems could be used to circumvent existing data protections, as discussed above. It is significant to note that the make-up of this group had a majority of Members of Children’s Parliament who were new to the project this school year and so had not had the same opportunities to learn about these issues as the children in the other three groups (where we did see more engagement with those broader concerns). Results from the Little Mission suggested that some of the children in other groups who were well into their second year of learning about AI and children’s rights had a more detailed and specific view:
“AI is getting smarter and smarter every day. They know what you like on YouTube and that doesn’t give you the right to privacy.”
Member of Children’s Parliament, Edinburgh
The preoccupation with safety is also linked closely to children’s feelings; the concerns they had clearly indicated the value they put on feeling safe. Similarly, there was some recognition of the risk that inadequate or unreliable information could cause more harm than good.
“Children need to know about AI because young kids online can be careless and share personal data and they can get exposed and it can make them anxious and scared.”
Member of Children’s Parliament, Shetland
“Children need to know because just a little bit of info can put them in danger and get them exposed and make them anxious.”
Member of Children’s Parliament, Shetland
The Members of Children’s Parliament in this group viewed learning about AI as important for their futures. They are aware that AI will continue to develop at pace and that when they are adults it will likely play a much greater role than it does already. They therefore saw education about AI as necessary both for the sake of their future success and for the sake of ensuring that the risks of rapid AI expansion were mitigated against.
“Children should have a say in how and what they learn about AI because the future will be AI.”
Member of Children’s Parliament, Shetland
“When they grow up they will give it too much power [if children don’t learn about AI].”
Member of Children’s Parliament, Shetland
In terms of how and where they thought children would like to learn about AI and their human rights, Members of Children’s Parliament were consistent in viewing school as a suitable location (although other suggestions were also made) and stressed the importance of fun and creativity, with several children referencing the approach taken by Children’s Parliament as a factor in them enjoying this learning. The following were written responses the children gave to a question about how and where they thought children would like to learn about this.
“We love the games and children will have fun!”
Member of Children’s Parliament, Shetland
“Children would like to learn about AI the fun way. Children would like to learn AI at school.”
Member of Children’s Parliament, Shetland
“They might like learning with their class and the Children’s Parliament. In a fun way. In class.”
Member of Children’s Parliament, Shetland
There were also some specific ideas on approach and some further thoughts on possible locations.
“They would like to learn about it with AI in front of them. In school or in Children’s Parliament – they should learn about it face to face.”
Member of Children’s Parliament, Shetland
“Children should learn about AI everywhere.”
Member of Children’s Parliament, Shetland
Responses from the larger AI Team provided a range of other views and ideas on what and how children should be taught about AI and their rights. For the ‘Little Mission’, Members of Children’s Parliament created placards declaring their key messages in this area. A clear message across the board is that children want to learn about AI and their rights:
“More AI education in schools.”
Member of Children’s Parliament, Glasgow
“How do I use AI?”
Member of Children’s Parliament, Glasgow
“Can you always trust AI?”
Member of Children’s Parliament, Edinburgh
“AI must protect our rights!”
Member of Children’s Parliament, Edinburgh
“Good AI can help children learn.”
Member of Children’s Parliament, Edinburgh
“Let all children learn about AI!”
Member of Children’s Parliament, Edinburgh
“Children learn about AI, it has to be protected and safe!”
Member of Children’s Parliament, Edinburgh
“Children need to know!”
Member of Children’s Parliament, Shetland
Finally, the workshops in Shetland brought up some more generalised concerns that the children had in relation to AI and the risks of it ‘taking over’ from humans.
“AI will take us over one day.”
Member of Children’s Parliament, Shetland
“I do think it will eventually take over. Because some people are being careless and programing it to do stuff that they’re not bothered … And I believe that in a few centuries then AI will be so intelligent that it will have personalities.”
Member of Children’s Parliament, Shetland
The children viewed change as necessary to prevent this from happening and, though they were not overly optimistic, Members of Children’s Parliament were clear that it was the responsibility of government to safeguard against the risks of unchecked AI development. Children’s Parliament asked them what they felt should be done:
“The governments actually paying attention to what happens to us. They’re not … caring about climate change or anything. Why would they be going to pay attention to robots going wrong?”
Member of Children’s Parliament, Shetland
“Maybe you could make a video and you could send it to the government about what we believe might happen within a few centuries.”
Member of Children’s Parliament, Shetland
“You could write a letter to them.”
Member of Children’s Parliament, Shetland
“They’re not going to react to some letter from some nine-year-old. They’re going to need a lot of letters … Yeah, we could protest.”
Member of Children’s Parliament, Shetland
Exchanges like these demonstrated that the children felt it was important that their views, and their fears, were taken seriously and acted on by adult decision-makers. They also demonstrated a fear that this would not happen – something which decision-makers must take into account - a children’s rights approach requires that children’s views are taken seriously and that they are given feedback on their engagement.
Image: Artwork from the Members of Children’s Parliament.
What our partners told us
With the focus being broader for these workshops due to the cohort of children having had less AI engagement previously, there was necessarily less of an opportunity for the children to feed directly into a specific piece of work that our partners were currently engaged in as the sessions were tailored to meeting the needs of the class at this stage. Nevertheless, both Maria Bell (Mesomorphic) and Lydia France (the Alan Turing Institute) reported coming away from the workshop with useful insights and an enhanced appreciation of the children’s capabilities.
“What surprised me was the range of applications the students created for using AI. They easily grasped the basic applications and generated some fascinating ideas that can be applied in their local areas.”
Maria Bell
“I was surprised by their lateral thinking about very different topics.”
Lydia France
These responses were consistent with what Children’s Parliament found across workshops in all four locations: the professionals we worked with were impressed with the children’s ability to engage with the subject matter and recognised them as capable of generating useful and relevant ideas. There were further benefits to partners in terms of their thinking around how to communicate effectively with children about AI and the impact it has on their lives.
“It’s got me thinking about more hackathon ideas that we can use with students to help them understand the impact of technology. … The whole event went really well, and I learnt a lot about audience engagement from the facilitators.”
Maria Bell
“It has helped me think about how to communicate AI.”
Lydia France
Image: Members of Children’s Parliament pose with their AI placards.
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FORM NO. MGT-7
[Pursuant to sub-Section(1) of section 92 of the Companies Act, 2013 and sub-rule (1) of rule 11of the Companies (Management and Administration) Rules, 2014]
Annual Return
(other than OPCs and Small Companies)
(iv)
I. REGISTRATION AND OTHER DETAILS
(i) * Corporate Identification Number (CIN) of the company
Hindi
English
Form language
Refer the instruction kit for filing the form.
Global Location Number (GLN) of the company
(ii) (a) Name of the company
(b) Registered office address
(c) *e-mail ID of the company
(d) *Telephone number with STD code
(e) Website
(iii) Date of Incorporation
Type of the Company
Category of the Company
Sub-category of the Company
(v) Whether company is having share capital
Yes
No
(vi) *Whether shares listed on recognized Stock Exchange(s)
Yes
No
Pre-fill
* Permanent Account Number (PAN) of the company
Name of the Registrar and Transfer Agent
(b) CIN of the Registrar and Transfer Agent
Pre-fill
Registered office address of the Registrar and Transfer Agents
(vii) *Financial year From date 01/04/2021
(DD/MM/YYYY) To date
(viii) *Whether Annual general meeting (AGM) held
(a) If yes, date of AGM
29/09/2022
(b) Due date of AGM
30/09/2022
(c) Whether any extension for AGM granted
Yes
II. PRINCIPAL BUSINESS ACTIVITIES OF THE COMPANY
*
Number of business activities 1
S.No
Main
Description of Main Activity group
Activity group code
Business
Activity
Code
L
L1
III. PARTICULARS OF HOLDING, SUBSIDIARY AND ASSOCIATE COMPANIES (INCLUDING JOINT VENTURES)
*No. of Companies for which information is to be given
1
Pre-fill All
S.No
Name of the company
CIN / FCRN
Holding/ Subsidiary/Associate/
(DD/MM/YYYY)
% of turnover of the
company
% of shares held
Joint Venture
IV. SHARE CAPITAL, DEBENTURES AND OTHER SECURITIES OF THE COMPANY
(i) *SHARE CAPITAL
(a) Equity share capital
Number of classes
1
Description of Business Activity
Yes
31/03/2022
No
No
(b) Preference share capital
Number of classes
1
(c) Unclassified share capital
(d) Break-up of paid-up share capital
v. ESOPs
ISIN of the equity shares of the company
INE583J01018
(ii) Details of stock split/consolidation during the year (for each class of shares)
Class of shares
(i)
Before split /
Number of shares
Consolidation
After split /
Face value per share
Number of shares
Consolidation
Face value per share
Nil [Details being provided in a CD/Digital Media]
(iii) Details of shares/Debentures Transfers since closure date of last financial year (or in the case of the first return at any time since the incorporation of the company) *
Yes
No
Not Applicable
Separate sheet attached for details of transfers
Yes
No
Note: In case list of transfer exceeds 10, option for submission as a separate sheet attachment or submission in a CD/Digital Media may be shown.
Date of the previous annual general meeting
31/08/2021
Number of Shares/ Debentures/ Units Transferred
Transferor's Name
Amount per Share/ Debenture/Unit (in Rs.)
Ledger Folio of Transferor
Date of registration of transfer (Date Month Year)
1 - Equity, 2- Preference Shares,3 - Debentures, 4 - Stock
Type of transfer
Ledger Folio of Transferee
(ii)
0
(iii)
Transferee's Name
Number of Shares/ Debentures/ Units Transferred
Transferor's Name
Amount per Share/ Debenture/Unit (in Rs.)
Ledger Folio of Transferor
Date of registration of transfer (Date Month Year)
1 - Equity, 2- Preference Shares,3 - Debentures, 4 - Stock
Type of transfer
Ledger Folio of Transferee
Transferee's Name
(iv) *Debentures (Outstanding as at the end of financial year)
Details of debentures
(v) Securities (other than shares and debentures)
0
V. *Turnover and net worth of the company (as defined in the Companies Act, 2013)
(i) Turnover
5,538,823,000
(ii) Net worth of the Company
11,444,181,000
VI. (a)
*
SHARE HOLDING PATTERN - Promoters
Total number of shareholders (promoters)
7
(b) *SHARE HOLDING PATTERN - Public/Other than promoters
Total
Total number of shareholders (other than promoters)
0
Total number of shareholders (Promoters+Public/ Other than promoters) 7
VII. *NUMBER OF PROMOTERS, MEMBERS, DEBENTURE HOLDERS
(Details, Promoters, Members (other than promoters), Debenture holders)
VIII. DETAILS OF DIRECTORS AND KEY MANAGERIAL PERSONNEL
(A) *Composition of Board of Directors
A.
Number of Directors and Key managerial personnel (who is not director) as on the financial year end date
6
(B) (i) *Details of directors and Key managerial personnel as on the closure of financial year
(ii) Particulars of change in director(s) and Key managerial personnel during the year
10
IX. MEETINGS OF MEMBERS/CLASS OF MEMBERS/BOARD/COMMITTEES OF THE BOARD OF DIRECTORS
A. MEMBERS/CLASS /REQUISITIONED/NCLT/COURT CONVENED MEETINGS
Number of meetings held
4
B. BOARD MEETINGS
*Number of meetings held
8
C. COMMITTEE MEETINGS
Number of meetings held
3
D.
*
ATTENDANCE OF DIRECTORS
X. *REMUNERATION OF DIRECTORS AND KEY MANAGERIAL PERSONNEL
Nil
Number of Managing Director, Whole-time Directors and/or Manager whose remuneration details to be entered
0
Number of CEO, CFO and Company secretary whose remuneration details to be entered
4
Number of other directors whose remuneration details to be entered
1
XI. MATTERS RELATED TO CERTIFICATION OF COMPLIANCES AND DISCLOSURES
Whether the company has made compliances and disclosures in respect of applicable provisions of the Companies Act, 2013 during the year A. *
Yes
No
If No, give reasons/observations B.
XII. PENALTY AND PUNISHMENT - DETAILS THEREOF
(A) DETAILS OF PENALTIES / PUNISHMENT IMPOSED ON COMPANY/DIRECTORS /OFFICERS
Nil
Name of the
company/ directors/
officers
Name of the court/
concerned
Authority
Date of Order
Name of the Act and section under which penalised / punished
Details of penalty/
punishment
Details of appeal (if any)
including present status
(B) DETAILS OF COMPOUNDING OF OFFENCES
Nil
Name of the
company/ directors/
officers
Name of the court/
concerned
Authority
Date of Order
Name of the Act and section under which offence committed
Particulars of offence
Amount of compounding (in Rupees)
XIII. Whether complete list of shareholders, debenture holders has been enclosed as an attachment
Yes
No
In case of a listed company or a company having paid up share capital of Ten Crore rupees or more or turnover of Fifty Crore rupees or more, details of company secretary in whole time practice certifying the annual return in Form MGT-8.
Name
Smita Chirmar
Whether associate or fellow
Certificate of practice number
9357
XIV. COMPLIANCE OF SUB-SECTION (2) OF SECTION 92, IN CASE OF LISTED COMPANIES
Associate
Fellow
I/We certify that:
(a) The return states the facts, as they stood on the date of the closure of the financial year aforesaid correctly and adequately.
(b) Unless otherwise expressly stated to the contrary elsewhere in this Return, the Company has complied with all the provisions of the
Act during the financial year.
Declaration
08/07/2022
6
I am Authorised by the Board of Directors of the company vide resolution no. ..
(DD/MM/YYYY) to sign this form and declare that all the requirements of the Companies Act, 2013 and the rules made thereunder in respect of the subject matter of this form and matters incidental thereto have been compiled with. I further declare that:
1. Whatever is stated in this form and in the attachments thereto is true, correct and complete and no information material to the subject matter of this form has been suppressed or concealed and is as per the original records maintained by the company.
2. All the required attachments have been completely and legibly attached to this form.
dated
Note: Attention is also drawn to the provisions of Section 447, section 448 and 449 of the Companies Act, 2013 which provide for punishment for fraud, punishment for false statement and punishment for false evidence respectively.
To be digitally signed by
Director
DIN of the director
05251670
To be digitally signed by
54516
Membership number
Company Secretary
Company secretary in practice
Certificate of practice number
Attachments
Attach
1. List of share holders, debenture holders
Attach
2. Approval letter for extension of AGM;
3. Copy of MGT-8;
Attach
Attach
TIL_List of shareholers.pdf
List of Share Transfer.pdf
MGT-8.pdf
Remove attachment
List of attachments
4. Optional Attachement(s), if any
Submit
Prescrutiny
Check Form
Modify
This eForm has been taken on file maintained by the Registrar of Companies through electronic mode and on the basis of statement of correctness given by the company
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October 30, 2003
U.S. Nuclear Regulatory Commission
Attn: Document Control Desk
Washington, DC 20555
SUBJECT: Arkansas Nuclear One, Units 1 & 2
Docket Nos. 50-313 and 50-368
License Nos. DPR-51, NPF-6
10CFR50 Appendix A Exemption Request for Steam Trap Isolation Valves
Dear Sir or Madam:
In accordance with 10 CFR 50.12, Entergy Operations, Inc. (Entergy) requests exemptions from the requirements of General Design Criteria (GDC) 57 of 10CFR50 Appendix A for Arkansas Nuclear One (ANO), Units 1 and 2. The proposed exemptions will allow ANO-1 and ANO-2 to operate at power with certain valves in the open position rather than locked closed as required by GDC 57. Specifically, Entergy requests an exemption from the requirements of GDC 57 to operate at power with the manual isolation valves for the ANO-1 and ANO-2 Emergency Feedwater (EFW) System steam traps and the ANO-2 atmospheric dump valve drain steam trap in the open position. Operating with these valves open does not affect the consequences of any of the accidents analyzed in the Safety Analysis Reports of either ANO unit. However, operating with the EFW steam trap isolation valves closed would pose a potential challenge to the operability of the steam-driven EFW pumps.
If you have any questions or require additional information, please contact Richard Scheide at 479-858-4618.
Sincerely,
Glenn R. Ashley
Manager, Licensing
GRA/rhs
Attachment:
Analysis of Proposed Exemptions
cc: Mr. Bruce S. Mallett
Regional Administrator
U. S. Nuclear Regulatory Commission
Region IV
611 Ryan Plaza Drive, Suite 400
Arlington, TX 76011-8064
NRC Senior Resident Inspector
Arkansas Nuclear One
P. O. Box 310
London, AR 72847
U. S. Nuclear Regulatory Commission
Attn: Mr. John Minns MS O-7 D1
Washington, DC 20555-0001
U. S. Nuclear Regulatory Commission
Attn: Mr. Thomas W. Alexion MS O-7 D1
Washington, DC 20555-0001
Mr. Bernard R. Bevill
Director Division of Radiation
Control and Emergency Management
Arkansas Department of Health
4815 West Markham Street
Little Rock, AR 72205
Attachment to 0CAN100302
Analysis of Proposed Exemptions
1.0 DESCRIPTION
Entergy Operations, Inc. (Entergy) requests exemptions from the requirements of 10CFR50 Appendix A, GDC 57 for Arkansas Nuclear One (ANO), Units 1 and 2. The proposed exemptions will allow ANO-1 and ANO-2 to operate at power with the Emergency Feedwater (EFW) System steam trap manual isolation valves open during power operation and ANO-2 to operate with the atmospheric dump valve (ADV) drain steam trap manual isolation valves open. These traps are located on main steam lines outside containment and upstream of the Main Steam Isolation valves. The proposed exemptions are being requested in accordance with 10 CFR 50.12, "Specific exemptions."
2.0 PROPOSED EXEMPTIONS
The proposed exemptions will allow operation at power with the ANO-1 and ANO-2 EFW steam trap manual isolation valves and the ANO-2 ADV drain steam trap manual isolation valves open, contrary to the requirements of General Design Criterion (GDC) 57. The subject piping configurations are shown in Safety Analysis Report figures 7-22 (Unit-1) and 10.2-3 (Unit-2).
3.0 BACKGROUND
The design and construction of ANO-1 and ANO-2 began before the issuance of the General Design Criteria. Consequently, the historical design and licensing basis documentation of both ANO units did not clearly designate the GDC classification of containment penetrations. However, the containment penetration table in the ANO-2 Final Safety Analysis Report (FSAR) listed the GDC that each penetration most closely represented. The ANO-1 Safety Analysis Report (SAR) was subsequently revised to do the same.
In 1995, an engineering report was completed which documented the design basis of the piping penetrations of the ANO-1 and ANO-2 containment buildings. This report concluded that design documentation supported the position that secondary system piping inside the containment buildings was an extension of the containment liner and, therefore, the secondary system isolation valves outside containment were not subject to GDC 57. Subsequently, Safety Analysis Report (SAR) changes were made in accordance with 10CFR 50.59 which documented this conclusion.
In 2002, the NRC staff questioned the position that design and licensing documentation supported secondary system piping inside containment being an extension of the containment liner and upon review of this issue, the validity of the SAR changes made under 10CFR50.59.
After evaluating the NRC's concern, Entergy decided to return the applicable secondary system piping penetrations to GDC 57 classification. Actions have been issued within the ANO corrective action program to complete the appropriate SAR changes in accordance with 10CFR50.59.
The secondary system piping penetrations of both ANO units comply with the requirements of the applicable GDCs to the extent practicable with the following exceptions:
- The ANO-1 steam generator sampling lines were not designed as Seismic Class I since Regulatory Guide 1.29, "Seismic Design Classification," specifically excludes lines less than 2 ½ inches in diameter connected to secondary system piping inside the outermost containment isolation valve, including the secondary side of the steam generators, from Seismic Class I design requirements. The non-seismic design of the sample lines was communicated to the NRC in response to FSAR Question 9.17. In addition, the basis for the acceptability of the design was communicated to the NRC in response to FSAR Question 5.65 and was incorporated into the FSAR. The response stated, "The steam generator sample lines do not explicitly meet Criterion 57 when the system is in use. When the system is in use, the design is acceptable on the basis that the system is infrequently used, the piping is closed inside the Reactor Building, the inboard isolation valves are remotely operated and redundant to the closed system, and the manual valve outside the Reactor Building is normally closed. In addition to the physical design and infrequent use, administrative control is exercised to insure the manual isolation valve will be closed in a timely manner." Since this configuration was communicated to the NRC during the initial licensing process for ANO and was included in the FSAR, an exemption is not required.
- The eight ANO-1 steam generator (SG) drain lines are less than 2 ½ inches in diameter and were excluded from Seismic Class I design requirements in accordance with Regulatory Guide 1.29. Each of these drain lines is isolated from the Seismic Class II four inch drain header by a single manual isolation valve which is normally closed. The associated containment penetrations are Seismic Class I and their inboard and outboard isolation valves are locked closed during power operation as required by GDC 56. The following basis for the acceptability of the design is included in the SAR. "The steam generator drain lines do not explicitly meet Criterion 56 when the system is in use. When the system is in use, the design is acceptable on the basis that the system is infrequently used, the piping is closed inside the reactor building, the inboard isolation valves are remotely operated and redundant to the closed system, and the manual valve outside the Reactor Building is normally closed. In addition to the physical design and infrequent use, administrative control is exercised to insure the manual isolation valve will be closed in a timely manner." Since this configuration was included in the FSAR during the initial licensing process for ANO, an exemption is not required.
- The steam traps associated with the main steam supplies to the steam-driven EFW pumps for both units have manual isolation valves which are normally open during power operation. These supply lines tap off of the main steam headers outside containment and upstream of the Main Steam Isolation Valves (MSIVs). The steam trap for the ANO-2 ADV drain is also located upstream of the MSIVs. Therefore, these steam trap isolation valves are subject to GDC 57. Since these are manual valves and do not have remote closure capability, GDC 57 requires that they be locked closed. Keeping the EFW steam trap isolation valves closed during operation potentially threatens the operability of the steam-driven EFW pumps. Therefore, Entergy requests an exemption from the requirements of GDC 57 to keep these valves open during operation.
4.0 TECHNICAL ANALYSIS
GDC 57 states, "Each line that penetrates primary reactor containment and is neither part of the reactor coolant pressure boundary nor connected directly to the containment atmosphere shall have at least one containment isolation valve which shall be either automatic, or locked closed, or capable of remote manual operation. This valve shall be outside containment and located as close to the containment as possible. A simple check valve may not be used as the automatic isolation valve."
Valves in branch lines connected to piping between a GDC 57 containment isolation valve and the outer containment wall are also subject to the requirements of the GDC.
For ANO-1, there are 11 GDC 57 penetrations. They include Main Steam (P1, P2), Main Feedwater (P3, P4), Steam Generator Sampling (P10), Emergency Feedwater (P17, P65), and Service Water (P21, P22, P55, P63). The valves associated with these penetrations are either automatic, capable of remote manual operation, or locked closed during operation as required by GDC 57 with the exception of the manual isolation valves for the two steam traps for the EFW steam supply lines. These valves are maintained open during plant operation to prevent condensate buildup that could impact the operability of the steam-driven EFW pump turbine. Therefore, Entergy requests an exemption from the requirements of GDC 57 to maintain these valves open during power operation. An evaluation of the impact of leaving these valves open is included below.
For ANO-2, there are 13 GDC 57 penetrations. They include Main Steam (2P1, 2P2), Main Feedwater (2P3, 2P4), Steam Generator Sampling (2P7), Steam Generator Blowdown, (2P32, 2P64), Emergency Feedwater (2P35, 2P65), and Service Water (2P20, 2P21, 2P56, 2P63). All of the valves associated with these penetrations are either automatic, capable of remote manual operation, or closed during operation with the exception of the manual isolation valves for the steam trap for the EFW steam supply line and the steam trap for the atmospheric dump valve drain. Actions have been initiated within the ANO corrective action program to ensure that the appropriate valves are maintained locked closed as required by GDC 57. The EFW steam trap isolation valves are maintained open during plant operation to prevent condensate buildup that could impact the operability of the steam-driven EFW pump turbine. Therefore, Entergy requests an exemption from the requirements of GDC 57 to maintain these valves open during power operation. An evaluation of the impact of leaving these valves open is included below.
Design Bases Discussion
ANO-1
Operating with the EFW steam trap isolation valves open results in having only the secondary system pressure boundary inside containment as a barrier against the release of radioactivity to the environment through the steam trap piping. However, the effects of these valves being open during power operation have been evaluated and shown to have no impact on the consequences of any of the events evaluated in the SAR. Operating with these valves closed could compromise the operability of the EFW pump turbine due to condensate buildup.
Of the 17 events listed in Chapter 14 of the ANO-1 SAR, only eight involve a radiation dose consequence evaluation. Two of these, the waste gas decay tank rupture and the fuel handling accident, need not be evaluated since they cannot physically involve a release through the EFW steam trap isolation valves. The remaining six events are the loss of coolant accident (LOCA), main steam line break, steam generator tube failure, rod ejection accident, loss of electric power, and the maximum hypothetical accident.
The limiting main steam line break analysis assumes that the break occurs between the reactor building and a main steam isolation valve. Therefore, the EFW steam trap isolation valves being open during this event does not impact the dose consequence evaluation.
A secondary system isolation is not assumed following a rod ejection accident or loss of electric power event. Therefore, having the isolation valves for the EFW steam traps open would not impact the dose consequences of these events.
For the LOCA, activity in the secondary is not considered in the dose estimate because of the massive radioisotope inventories that are conservatively and deterministically considered to come from the containment building. The fact that there is no credit taken for the isolation of any secondary system flowpath is evidence of this. Therefore, having the EFW steam trap isolation valves open during this event does not impact the evaluation.
The maximum hypothetical accident analysis assumed fission product releases greater than any that could actually occur to demonstrate that the plant design was adequate to preclude any undue risk to the general public. Secondary system isolation was not assumed for this event. Therefore, leaving the EFW steam trap isolation valves open would have no effect on the consequences of this event.
The steam generator tube rupture analysis does not generate a main steam line isolation signal and automatic isolation of the affected steam generator is not assumed. The analysis assumes that the affected generator is isolated at 34 minutes by reducing RCS temperature to a value lower than a temperature corresponding to a saturation pressure below the setpoint of the main steam safety valves. This effectively stops the tube leak. All of the reactor coolant mass that leaked to the secondary system prior to termination of the primary to secondary leak is assumed to exit to atmosphere either through the main steam safety valves or through the condenser. The discharge of the subject traps is routed to the condenser. Therefore, leaving the EFW steam trap isolation valves open would have no effect on the consequences of this event.
Based on the above discussion, leaving the EFW steam trap isolation valves open during power operation would have no impact on the consequences of any of the accidents evaluated in the SAR.
ANO-2
Operating with the EFW steam trap and Atmospheric Dump Valve (ADV) drain steam trap isolation valves open results in the secondary system pressure boundary inside containment providing the only barrier against the release of radioactivity to the environment through the steam trap piping. However, the effects of these valves being open during power operation
have been evaluated and shown to have no impact on the consequences of any of the events evaluated in the SAR. Operating with the EFW steam trap isolation valves closed could compromise the operability of the EFW pump turbine due to condensate buildup.
Of the 36 events listed in Chapter 15 of the SAR, only ten involve a radiation dose evaluation. The waste gas decay tank rupture and the fuel handling accident need not be evaluated since they cannot physically involve the EFW and ADV steam trap isolation valves. Additionally, the malfunction of the turbine gland sealing system can also be eliminated from evaluation since it is bounded by the turbine trip event which will be discussed below. The remaining seven events are loss of reactor coolant system (RCS) forced flow, turbine trip, loss of AC power, excess heat removal, LOCA, main steam/feed line break, and steam generator tube rupture.
For the turbine trip, loss of AC power, excess heat removal, and main steam/feed line break, no post-event RCS activity is involved in the dose estimate since the RCS integrity is not compromised. Having the EFW and ADV steam trap isolation valves open would not impact this event since the containment isolation function is not a factor.
For the loss of RCS forced flow, only the RCP shaft seizure has a dose estimate and that dose estimate is based on a normal cooldown to shutdown cooling with no secondary isolations assumed. Therefore, having the EFW and ADV steam trap isolation valves open would not impact this event.
For the LOCA, activity in the secondary is not considered in the dose estimate because of the massive radioisotope inventories that are conservatively and deterministically considered to come from the containment building. No credit for the closure of the main steam isolation valves or other secondary system flowpaths is taken for this analysis unless a passive failure of the secondary system pressure boundary inside containment is assumed. Since the design and quality of the secondary system process and drain lines inside containment is equivalent to that of the containment liner, a passive failure of this piping is not considered credible. Therefore, having the EFW and ADV steam trap isolation valves open would not impact this event.
For the steam generator tube rupture, no containment isolation signal or main steam isolation signal would be generated. Manual isolation of the affected steam generator is assumed to occur 60 minutes following a steam generator tube rupture followed by cooldown to shutdown cooling conditions using the unaffected steam generator. The isolation of the affected steam generator includes the local manual isolation of the EFW and ADV steam traps. Therefore, the fact that they are not equipped to be operated remotely has no affect on analyzed dose consequences.
Based on the above discussion, leaving the EFW and ADV steam trap isolation valves open during power operation would have no impact on the consequences of any of the accidents evaluated in the SAR.
5.0 JUSTIFICATION FOR 10CFR50, APPENDIX A, GDC 57 EXEMPTIONS
10CFR50.12 states that the commission may grant an exemption from the requirements contained in 10CFR50 provided that:
1. **The requested exemption is authorized by law:** No law has been identified which precludes the activities covered by this exemption request.
2. **The requested exemption does not present an undue risk to the public health and safety:** The previous discussions document that leaving the isolation valves for the ANO-1 and ANO-2 EFW steam traps and the ANO-2 ADV drain steam trap open during power operation would have no impact on the offsite doses associated with the accidents analyzed in the SARs of both ANO units.
3. **The requested exemption will not endanger the common defense and security:** The common defense and security is not impacted by this exemption request.
4. **Special circumstances are present which necessitate the request for an exemption:** This exemption request meets the special circumstances described in 10CFR50.12(a)(2)(ii) since the underlying purpose of the rule will continue to be met with the isolation valves for the subject steam traps open. As discussed above, the offsite dose consequences of the accidents analyzed in the SARs of both ANO units are not affected by leaving the isolation valves for the ANO-1 and ANO-2 EFW steam traps and the ANO-2 ADV drain steam trap open. Additionally, if the EFW steam trap isolation valves were maintained closed during operation as required by GDC 57, the operability of the steam-driven EFW pumps could be compromised as a result of condensate buildup.
6.0 CONCLUSION
The discussions above demonstrate that:
- Leaving the isolation valves for the ANO-1 and ANO-2 EFW steam traps and the ANO-2 ADV drain steam trap open during power operation would continue to meet the underlying purpose of the rule in that the dose consequences of the accidents analyzed in the ANO-1 and ANO-2 SARs would not be impacted.
- Maintaining the isolation valves for the EFW steam traps closed as required by GDC 57 could compromise the operability of the EFW pumps due to condensate buildup.
Therefore, in accordance with 10CFR50.12, Entergy requests an exemption from the requirements of GDC 57 of 10CFR50, Appendix A, to allow operating ANO-1 and ANO-2 with the isolation valves for the ANO-1 and ANO-2 EFW steam traps in the open position and with the isolation valves for the ANO-2 ADV drain steam trap open.
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BIODIVERSITAS
ISSN: 1412-033X
Pages: 27-43
E-ISSN: 2085-4722
DOI: 10.13057/biodiv/d160105
Ferns and fern allies of District Shopian, Kashmir Valley, India
1
SHAKOOR A. MIR 1, ♥ , ANAND K. MISHRA 1 , SHAUKET AHMAD PALA 2 , ZAFAR A. RESHI 2 , M.P. SHARMA
1Department of Botany, Jamia Hamdard, Hamdard Nagar, New Delhi-110062, India. Tel: +91-9968172445; ♥email: [email protected]. 2 Department of Botany, University of Kashmir, Hazratbal, Srinagar-190006, Jammu and Kashmir, India
Manuscript received: 11 November 2014. Revision accepted: 9 December 2014.
Abstract. Mir SA, Mishra AK, Pala SA, Reshi ZA, Sharma MP. Ferns and fern allies of District Shopian, Kashmir Valley, India Biodiversitas 16: 27-43. Shopian, recently created hilly district of Kashmir valley, Jammu and Kashmir is surrounded by the lofty mountains of Pir-Panjal range. More than half area of district is occupied by different forests, subalpine, alpine and mountainous zones. Great altitudinal variation, adequate rainfall, high forest cover, large number of streams, springs and topographic variations render the district worthy for supporting rich fern flora. Therefore, the current study was aimed to undertake in-depth systematic survey of different habitats of Shopian for the collection of diversity of pteridophytes. Specimens were collected during 2010, 2011 and 2012 growing seasons from June to November. A total 81 species of ferns and fern allies belonging 27 genera and 11 families were reported. The dominant families of the region are Dryopteridaceae (25 species) followed by Woodsiaceae (16 species), Aspleniaceae (13 species) and Pteridaceae (12 species). Similarly, the dominant genera collected from here are Dryopteris (14 species), Asplenium (13), Polystichum (11 species) and Athyrium (6 species). A list of the fern and fern allies, along with update nomenclature, their selected Synonym, diagnostic features, distributional and ecological notes have been provided here.
Key words: distribution, diversity, ferns, Kashmir valley, lycophytes, Shopian, survey.
INTRODUCTION
Pteridophytes comprise a group of seedless but spore producing plants, formed by two lineages, lycophytesfronds with no leaf gap in the stem stele (Lycophylls) and Monilophytes or ferns- fronds with leaf gap in the stem stele (Euphylls) (Pryer et al. 2001, 2004; Smith et al. 2006). They constitute an important component of earth's flora for millions of years (Pryer et al. 2001). Presently there are about 300 genera of pteridophytes containing approximately 9600 ferns and about 1400 lycophytes worldwide (Smith et al. 2006, 2008), with highest diversity in the tropics (Jacobsen and Jacobsen 1989; Kornas 1993; Linder 2001). The current revised treatment of fern and fern allies from India revealed 1150 species (Fraser-Jenkins 2008; Fraser-Jenkins and Benniamin 2010). The west Himalayas is the fourth richest area for pteridophytes in India after the east Indo-Himalayas, the Manipur-Khasi range and south India, and harbours about 402 species, which constitute 40%, over one-third of pteridoflora of whole country (Kumari et al. 2010). Kashmir Himalaya, a picturesque south Asian region, is unique biospheric unit located in the northwestern extreme of the Himalayan biodiversity hotspot (Rodgers and Panwar 1988).
plants; many species are distinct from those in the rest of the country and are endemic to this region. However, the published literature on the flora of Kashmir reveals that only the Phanerogams have been well documented. The cryptogams, particularly pteridophytes have met little attention in the past with regards to their survey and inventorization (Dar et al. 2002).
One of the main features contributing to the worldwide fame of Kashmir is the rich biodiversity that decorates its captivating landscape (Lawrence 1895). Owing to the vast variety of edapho-climatic and physiographic heterogeneity and diverse habitats including lakes, springs, swamps, marshes, rivers, cultivated fields, orchards, subalpine and alpine meadows, mountain slopes and terraces, permanent glaciers, etc., the valley harbors almost all groups of land
The valley has been occasionally explored in the past for pteridophyte diversity by Clarke (1880), Beddome (1883, 1992) and Hope (1899-1904). Some isolated fern collections have also been made in this region by the botanists of botanical survey of India, like R.B. Keshavanand, T.A. Rao, P.K. Hajra, U.C. Bhattacharayya, B.M. Wadhwa, M.V. Vishwanathan, etc. (Wani et al. 2012) The other studies particularly relevant to the pteridophytic flora of Kashmir are of Stewart (1945, 1951, 1957 1972, 1984); Javeid (1965), Kaul and Zutshi (1966, 1967), Kapur and Sarin (1977), Dhir (1980), Kapur (1985), Khullar (1984, 1994, 2000), Razdan et al. (1986); Khullar and Sharma (1987), Fraser-Jenkins (1989, 1991, 1992, 1993, 1997, 2008) and Singh and Pande (2002). Recently, an upto-date account of fern and fern allies has been published collectively for Kashmir valley, Gurez (Kishanganag valley) and Ladakh by Wani et al. (2012) yet representing only 106 taxa of fern and fern allies. The present authors have, therefore, undertaken to explore in-depth pteridophytic wealth and possibility of new records in the Kashmir valley, and have restricted their study to district Shopian, which possesses the majority of topographical features of the large expanse of valley.
MATERIAL AND METHODS
Shopian, one of the ten districts of Kashmir division of Jammu and Kashmir State (Figure 1) is located in the south and south-west extremity of Kashmir valley within the coordinates of 33 0 20′ and 34 0 54′ North latitude and 73 0 35′ and 75 0 35′ East longitude. The district has been created in 2006. Total area of the region is 812.70 km 2 , of which more than half about 442.98 km 2 is occupied by alpine zone with a considerable portion under meadowlands and glaciers. The forest cover of different forests viz, deodar, kail, fir and broad leaved forests is approximately 316.60 km 2 . The temperature ranges from an average daily maximum of 31ºC and minimum of 15ºC during summer to an average daily maximum of 4ºC and minimum of – 4ºC during winter (Bhat et al. 2012). The long and cold winter season is dominated by the western atmospheric depressions called Western Disturbances (Jeelani et al. 2010), which cause snowfall and rainfall. The annual precipitation of is about 1,050 mm; by and large in the form of snow during the winter months and rain during the late winter and early spring (Raza et al. 1978). According to Raza et al. (1978) the district possesses rich soil diversity, having three major categories of soils namely hill soils, alluvial soils and Karewa soils. With the gradual ascending slope from its north and north-eastern sides and loft Pir Panjal mountain range falling on its south and south-west periphery, the district has most of its areas of hilly character with the altitudinal range varying from 1600 to 4562 meters. Most of the vegetation met in this region is deciduous type. The low land zone is mostly under cultivation and habitation, supporting crop fieldskharief crop fields, orchards, kitchen gardens and natural fields- roadsides, pastures, grasslands, graveyards, rocky meadows, streams, waste-lands, ponds, small ditches and spring sites. Mountain zone which is the maximum portion of the district includes broad-leaved deciduous forests, mixed conifer forest, kail forests, scrub forests, meadows and bare snow laden mountains. Each of these habitats has a peculiar type of vegetation, thus making the whole district biologically diverse. All these remarked features support a rich flora of cryptogams, particularly pteridophytes. However, during the last decades the floras published from this region including Flora of Pulwama (Kashmir) (Navchoo and Kachroo 1995) reported only flowering plants and therefore, no keen interest has been laid on Pteridophytic flora and as such no published pterido-flora is available from this district.
Diverse habitats such as plains, streams, rivulets, rivers, small valleys, dense forests, meadows, sub-alpine, alpine, mountains etc. of study area were surveyed for the collection of fern diversity during the years 2010 – 2012. The major research sites are shown in Figure 1. Each specimen was photographed, numbered as it was collected and the detailed notes were entered in the notebook. The collected specimens were pressed and dried in the standard way and described and identified with the relevant literature (Beddome 1976, 1983; Clarke 1880; FraserJenkins 1989; Khulllar 1994, 2000; Ghosh et al. 2004). The identity of specimens was authenticated from Botanical
Survey of India, Northern Circle, Dehradun. One set of voucher specimens are deposited in Department of Botany, Jamia Hamdard and another in the Herbarium, Centre for Biodiversity and Plant Taxonomy, University of Kashmir (KASH). The identified plants are listed according to the classification system of Smith et al. (2008), followed by selected Synonym, habitat and taxonomic notes, range of distribution and Specimen examined
RESULTS AND DISCUSSION
An interesting feature of the Shopian is occurrence of varying topography and great altitudinal range that develops immense habitat variation, that facilitated luxurious growth of pteridophyte flora and therefore, as many as 81 pteridophyte species belonging to 27 genera, 11 families, 4 orders and 2 classes were collected from here. The richest fern families of this area are Dryopteridaceae sharing 25 species followed by Woodsiaceae (15 species), Aspleniaceae (13 species) and Pteridaceae (12 species). Besides these, the families Thelypteridaceae and Equisetaceae have 5 and 3 species, respectively; Marsileaceae and Osmundaceae are represented by 1 species each and Dennstaedtiaceae, Polypodiaceae and Salviniaceae with 2 species each. Similarly, the dominant genera reported from here are Dryopteris (14 species), Asplenium (13 species) and Polystichum (11 species).
Based on personal observation and data available from literature (Stewart 1972; Khullar 1994, 2000; Wani et al. 2012), a rough estimate of status of collected taxa has also been figured. The most common species of the area are Adiantum venustum, Asplenium trichomanes, A. pseudofontanum, Athyrium attenuatum, A. mackinnoni, Deparia allantodioides, Equisetum arvense, Polystichum prescottianum, Pseudophegopteris levingei. On the contrary, Adiantum pedatum, Asplenium viride, Athyrium strigillosum, Cyclosorus erubescens, Cryptogramma stelleri, Lepisorus clathratus, L. stewartii, Onychium plumosum, Pellaea nitidula, Polystichum lonchitis and Woodsia alpina have been reported only with 1-3 specimens, whereas other species range in status from occasional to frequent. Out of 81 taxa, 29 taxa were recorded to be rare and just only 3 taxa, namely Adiantum venustum, Asplenium trichomanes, and Equisetum arvense were abundant in this region.
The collected species also showed a range of ecological distribution varying from aquatic (Marsilea, Azolla) to terrestrial (Athyrium, Dryopteris) to lithophytic (Lepisorus, some species of Asplenium); and from low-land to forests to sub-alpine to alpine zones. Except for some lowland ferns, namely Dryopteris filix-mas and D. pulvinulifera that mature fairly earlier, the appropriate time of maturation is from mid-June to ending October. Within these 3-4 months, the ferns produce sori and complete their life cycle. However, Equisetum arvense produce cone i.e. reproductive stage earlier than the vegetative stage from earlier April to mid-May.
The pteridophyte species were reported within the altitudinal range of 1600 to 4100 m. 51 species were found growing luxuriously between 1600-2500; 18 were reported within the range of 2500-3200 m; and 12 were found within the altitudinal range of 3300-4100 m . However, Adiantum venustum, Asplenium adiantum-nigrum, A. trichomanes, Athyrium mackinnoni, Cystopteris fragilis and Equisetum arvense were collected throughout the ranges of altitudes and were numerically the most abundant and wide-spread species among all pteridophytes recorded from the region. The species Asplenium viride, Cryptogramma brunoniana, C. stelleri, Lepisorus clathratus, Polystichum lachenense, P. shensiense and Woodsia alpina were rarest and restricted to higher altitudes in alpine meadows and rocky mountains.
The fern species collected in this region are ethnically insignificant. The crosiers of two ferns, Diplazium allantodioides and Pteridium aquilinum are used as vegetable by the tribal people. Few others such as Adiantum capillus-veneris, Adiantum venustum, Asplenium adiantum-nigrum, Asplenium pseudofontanum, Asplenium trichomanes, Athyrium wallichianum, Deparia allantodioides, Equisetum arvense, Pteridium aquilinum have various medicinal uses.
As per the distribution of pteridophyte species recorded by Dixit (1984), Chandra (2000) and Khullar (1994, 2000), out of 81 species, 61 (75%) are common with the list of fern and fern allies of Jammu and 67 species (82%) are common with fern flora of Himachal Pradesh. 59 species (72%) are common with the Garhwal region, 41 species (50%) with Dehradun and 42 species (52%) with Sikkim. Summing up, 71 species (87%) and 52 species (64%) resemble with pteridoflora of Western Himalaya (Almora, Chamoli, Dehradun, Garhwal, Himachal Pradesh, Jammu, Kinnaur, Kumaun, Nanital, Pithogarh, Shimla, Uttar Pradsh) and Eastern Himalaya (Arunachal Pradesh, Assam, Darjeeling hills, Meghalaya, Mizoram, Nagaland, Sikkim, West Bengal), respectively. 16 species (19%) ferns of this region resemble those met within the South India.
Out of 81 species, eight have been recently added by authors to the pteridoflora of Kashmir Valley as new records. These are Dryopteris caroli-hopei Fraser-Jenk., Dryopteris blanfordii subsp. nigrosquamosa (Ching) Fraser-Jenk., Dryopteris pulvinulifera (Bedd.) Kuntze and Polystichum Nepalense (Spreng) C. Ch (Mir et al. 2014a); Hypolepis polypodioides (Blume) Hook., Pteris stenophylla Wall. ex Hook. & Grev., Dryopteris subimpressa Loyal and Dryopteris wallichiana (Spreng.) Hylander (Mir et al. 2014b).
Two species Asplenium punjabense Bir & Fraser-Jenk. (Figure 2) and Pseudophegopteris pyrrhorachis (Kunze) Ching, subsp. distans (Mett.) Fraser-Jenk. (Figure 3) reported here has been recorded first time from the Kashmir valley. There are no earlier reports of their collection from the valley, but have been collected from Jammu division of J & K State. Asplenium punjabense differs from its closely related species Asplenium ceterach in having long stipes (more than 3 cm) with sparse scaly lamina on abaxial surface which do not fringe the edges of lamina; whereas the later has short stipes (less than 3 cm) with dense scaly lamina on abaxial surface and fringing the edges of lamina. The P. pyrrhorachis subsp. distans
contrasts from its close relatives, P. pyrrhorachis subsp. laterepens in having long rhizome, castaneous stipe and pinnules with acute apex, whereas the later has rhizome short, stipe stramineous with very base brownish and pinnules with rounded apex.
Enumeration of species
Equisetaceae Michx. Ex De Candolle
Synonym: Equisetum calderi B. Boivin; E. saxicola Suksd.
1. Equisetum arvenseL., Sp. Pl. 2: 1061 (1753).
Terrestrial, medium sized fern ally, grows along the moist stream banks, shady marshes and fields, stem erect, dimorphic, fertile stem unbranched, sterile stem branched, abundant with altitudinal range of 1650-3500 m.
Specimen examined: D. K. Pora (SAM 801), 20/07/2011, 1750 m; Aharbal (SAM 817), 02/08/2011, 2350 m; Heerpur (SAM 929), 15/04/2012, 2650 m.
Distribution: America, Bhutan, Canada, Iran, Turkey, Japan, Korea, Mongolia, Nepal, Russia, Europe, North America, India (Northern India).
2. Equisetum diffusum D. Don, Prodr. Fl. Nepal. 19 (1825).
Medium size fern ally occurring along road in thickets or in semi-shaded places usually on wet ground in lowland, monomorphic, stem much branched bearing 6-12 ridges, occasional from 1700-2500 m altitude.
Synonym: Equisetum diffusum var. paucidentatum C.N. Page; E. mekongense C.N. Page
Distribution: Bhutan, Japan, Myanmar, Nepal, Pakistan, Vietnam, India (Jammu and Kashmir, Assam, Sikkim, Himalayan Mountains from Shimla to Tibet, Meghalaya, South India).
3. Equisetum palustre L, Sp. Pl. 2: 1061 (1753).
Specimen examined: Narwani (SAM 821), 20/08/2011, 1740 m.
Synonym: Equisetum palustre var. polystachion Weigel; E. palustre var. szechuanense C. N. Page.
Distribution: Bhutan, China, Japan, Korea, Nepal, North America, Russia, Pakistan, Tibet, India (Kashmir).
Medium size fern-ally growing in marshes, amongst sand and boulders of river valleys, under bushes, aerial stems monomorphic, green, branched, hollow center, sheath tubes long, teeth dark, 5-9, teeth margins white, scarious, rare from 2000-3600 m altitude.
Specimen examined: Rambi Ara (SAM 942), 17/09/2012, 1950 m.
Osmundaceae Martinov
Synonym: Osmundastrum claytonianum (L.) Tagawa
4. Osmunda claytoniana L, Sp. Pl. 2: 1066 (1753).
Terrestrial, large, thick textured, hemi-dimorphic fern, naturally growing in open sunny and rocky slopes in populations, occasional from 2600-3800 m altitude.
Distribution: Bhutan, China, Japan, Korea, Nepal, North America, Russia, Pakistan, Siberia, Tibet, India (Assam, Himachal Pradesh, Kashmir, Sikkim, Meghalaya, Dehradun, Garhwal, West Bengal).
Specimen examined: Huran (SAM 840), 3350, 15/072011; Dubjan (SAM 876), 23/07/2011, 3150 m.
(L) All., Fl. Pedem 2: 289 (1785).
Salviniaceae Martynov 5. Salvinia natans
Aquatic, free floating small fern, stem dichotomously branched, leaves in whorls of three: 2 floating green entire and one submerged finely dissected into linear root-like structure, common in water bodies with altitudinal range from 1700-2000 m.
Synonym: Marsilea natans L.
Distribution: Africa, Asia, China, Europe, Thailand, Vietnam, India (Kashmir.
6.
Specimen examined: Zainapora (SAM 902), 10/09/2012, 1630 m.
(Previously mis-identified as Azolla pinnata R. Br., Prodr. Fl. Nov. Holland. 167 (1810).
Azolla cristataKaulf., Enum. Fil.: 274 (1824).
Very small aquatic fern, polygonal in outline, stem pseudodichotomously branched bearing long feathery roots, leaves minute, overlapping, bilobed; dorsal lobe brown-green or reddish, ventral lobe translucent submerged, fairly common in rice fields and ponds from 1700-2000 m altitude.
Distribution: India (Kashmir) Specimen examined: 10/09/2012, 1630 m.
Marsileaceae Mirb.
Medium size aquatic/terrestrial fern bearing long, slender, creeping and branched rhizome, leaves with 4 triangular leaflets in cross-shape; common in rice fields and ponds from 1600-2200 m altitude.
7. Marsilea quadrifolia L. Sp. pl. 2: 1099 (1753)
Distribution: China, Europe, Japan, Korea, North America, India (Kashmir, Tamil Nadu).
Specimen examined: Herman (SAM 918), 20/06/2011, 1800 m; Narwani (SAM 824), 01/07/2011, 1750 m.
Polypodiaceae J. Presl
Synonym: Lepisorus nepalensis K. Iwats.; Pleopeltis clathrata (C.B. Clarke) Bedd.; Polypodium clathratum C.B. Clarke
8. Lepisorus clathratus (C. B. Clarke) Ching, Bull. Fan Mem. Inst. Biol. Bot. 4: 71 (1933).
Lithophytic small fern having long creeping rhizome, stipe straw colored, lamina lanceolate, widest at or below middle, costa raised on both sides, veins visible, anastomosing to form areolae; rare growing from 20004300 m altitude.
India
Specimen examined: Huran (SAM 864), 15/07/2011, 3455 m; Kongwatan (SAM 940), 20/09/2012, 2650 m.
Distribution: Bhutan, China, Japan, Nepal (Kashmir).
9. Lepisorus stewartii Ching, in Acta Bot. Austro Sinica, 1: 23 (1983).
Lithophytic small fern appearing in colonies on large rocks along streams, stipe very short, green, lamina narrowly linear, pale green, margin revolute, veins obscure, midrib raised abaxially, rare with altitudinal range 22004000 m.
Distribution: India (West Himalaya).
Pteridaceae E. D. M. Kirchn.
Specimen examined: Aharbal (SAM 895), 06/09/2011, 2500 m.
10. Adiantum capillus-veneris L., Sp. Pl. 2: 1096 (1753).
Lithophytic medium size fern occurring on moist walls and rocks, rhizome long-creeping, stipe castaneous black, polished, pinnules or ultimate lobes fan shaped or rhombic, sori covered with false, yellow or yellowish brown, narrowly reniform or orbicular- reniform indusia, occasional with altitudinal range of 1700-2800 m.
Synonym: Adiantum formosum R. Br.; A. michelii H. Christ; A. modestum Underw.; A. remyanum Esp. Bustos; A. schaffneri E. Fourn.; A. wattii Baker
Distribution: China, Japan, Vietnam, widely distributed in temperate and tropical regions in Africa, America, Asia, Europe, Oceania, India (throughout India).
11. Adiantum pedatum L. Sp. Pl. 2: 1095 (1753).
Specimen examined: Munad SAM (841), 14/07/2011, 1760 m; Zainapora SAM (943), 20/08/2012, 1630 m.
Synonym: Adiantum boreale C. Presl; A. pedatum var. aleuticum Rupr.; A. pedatum subsp. aleuticum (Rupr.) Calder & Roy L. Taylor; A. pedatum f. billingsae Kittr.; A. pedatum var. glaucinum C. Chr.; A. pedatum var. kamtschaticum Rupr.; A. pedatum f. laciniatum Weath.
Distribution: Bhutan, Canada, China, Japan, Korea, Nepal, North America, India (Jammu and Kashmir, Himachal Pradesh, Garhwal, Kumaun, Sikkim).
Lithophytic medium sized fern growing on moist, cool, shaded areas, fronds clustered, herb green, fan shaped, dichotomously branching from end of the stipe, with 4-6 lateral pinnae, veins multi-dichotomously forked, rare from 1750-3000 m altitude among rocky seeps.
Specimen examined: Secjan (SAM 898), 09/09/2011, 2520 m; Kund (SAM 946), 14/08/2012, 2260 m.
Synonym: Adiantum fimbriatum, A. venustum var. wuliangense Ching & Y. X. Lin.
12. Adiantum venustum D. Don, Prod. Fil. Nepal 17 (1825).
Terrestrial or lithophytic growing on moist shady humus rich but well drained soils, rock crevices, stipes dark-purple to nearly black, glossy, lamina triangular, lightgreen, pinnules wedge shaped, margin regularly toothed, fertile lobes with 2-3 notches, each notch bearing a sorus, abundant having wide altitudinal range from 2000-3300 m.
Specimen examined: Aharbal (SAM 805), 14/07/2011, 1900 m; Dubjan (SAM 838), 28/08/20111, 3410 m; Heerpur (SAM 892), 02/09/2011, 2420 m.
Distribution: Afghanistan, Bhutan, Myanmar, Nepal, Pakistan, Tibet, China, India (Jammu and Kashmir, Himachal Pradesh, Garhwal, Arunachal Pradesh, West Bengal, Assam, Meghalaya, Uttar Pradesh).
13. Cheilanthes persica (Bory) Mett. ex Kuhn, Fil. Afr. 73 (1868).
Lithophytic small size fern occurring in rock crevices, fronds clustered, stipe erect, ebenous, shiny, hairy, lamina with abaxial dense white hairs, pinnae triangular to deltate,
Synonym: Notholaena persica Bory; Cheilanthes szovitsii Fish. & Meyer sessile, pinnules linear-oblong, incised into small round bead-like segments, occasional with altitudinal range of 1700-2500 m.
Specimen examined: Lahanthoor (SAM 887) 15/08/2011, 2000 m.
Distribution: Afghanistan, Asia, Europe, Iran, Italia, Pakistan, Persia, Turkey, Tibet, India (Kashmir Himachal Pradesh).
14. Coniogramme affinis Wall ex Hieron. Hedwigia, 57: 279 (1916).
Terrestrial, medium size fern naturally growing in rocky meadows, rhizome long-creeping, scaly, lamina thinly herbaceous, pinnae linear to lanceolate, base subcunate to rotundate, margin with sharp teeth, Sori exindusiate extending from costa up to near margin, frequently distributed from 2000- 3500 m altitude.
Synonym: C. affinis var. pilosa H. S. Kung; C. argutiserrata Ching & K. H. Shing. Grammitis affinis Wall.; Gymnogramma affinis C. Presl; G. javanica sensu Hook.; Syngramme fraxinea (D. Don) Bedd.
Distribution: China, Myanmar, Nepal, Tibet, India (Jammu and Kashmir, Himachal Pradesh, Garhwal, Kumaun, Meghalaya).
14. Cryptogramma brunoniana Wall. ex Hook. & Grev. Icon. Fil: t. 158 (1829)
Specimen examined: Secjan (SAM 891), 16/09/2011, 2500 m; Kund (SAM 924), 02/09/202, 2050 m; Kongwatan (SAM 941), 20/10/2012, 2360 m.
Synonym: Cryptogramma crispa Bedd.; C. crispa var. brunoniana (Wall. ex Hook. & Grev.) Hook. & Baker; C. crispa f. indica Hook.; Phorolobus brunonianus (Wall. ex Hook. & Grev.) Fee; C. emeiensis Ching & K. H. Shing; C. shensiensis Ching.
Distribution: Afghanistan, Bhutan, China, Japan, Nepal, Pakistan, Siberia, Taiwan, India (Kashmir, Himachal Pradesh, Garhwal, Kumaun, Sikkim, Andaman & Nicobar).
Lithophytic small size plants occurring at higher altitudes in rock crevices or under rocks in areas with latelying snow, fronds dimorphic; sterile tufted, many and short, fertile fronds one or two with longer stipes, occasional with altitudinal range of 3000-4000 m.
Specimen examined: Dubjan (SAM 863), 10/07/2011, 3560 m, Huran (SAM 915), 12/08/2012, 3220 m.
Synonym: Allosorus gracilis (Michx.) C. Presl; A. minutus Turcz. ex Trautv.; A. stelleri (S.G. Gmel.) Rupr.; Cheilanthes gracilis (Michx.) Kaulf.; Pellaea gracilis (Michx.) Hook.; P. stelleri (S.G. Gmel.) Baker; Pteris gracilis Michx.; P. stelleri S.G. Gmel.
16. Cryptogramma stelleri (S. G. Gmel.) Prantl in Bot. Jahrb. Syst. 3: 413 (1882).
Lithophytic high altitudinal small size fern grows on cool moist and shady calcareous rocks, rock lodges and cliffs, fronds remote, dimorphic, sterile shorter than fertile ones, sori elongate, submarginal indusiate, indusium false, pale-green, occasional from 2700-4000 m altitude.
Specimen examined: Dubjan (SAM 867); 10/07/2011; 3550 m. Huran (914), 12/08/2012, 3120 m.
Distribution: Afghanistan, China, Japan, Nepal, Russia, North America, India (Kashmir, Kumaun).
17. Onychium contiguum Wall. ex Hope, Journ. Bombay Nat. Hist. Soc., 13: 444 (1901).
Terrestrial medium size fern growing in open rocky meadows along stream banks, stipe long, base black, straw colored distally, lamina finely dissected 4 pinnatepinnatifid or more; sterile ultimate lobes linear with acute apex, entire margin, fertile ultimate lobes broader than sterile ones, frequent with altitudinal range of 1800-2700 m altitude.
Synonym: Cheilanthes contiguum Wall.; Onychium cryptogrammoides H. Christ; O. japonicum var. intermedia C. B. Clarke; O. japonicum var. multisecta C.B. Clarke
Distribution: Bhutan, China, Cambodia, Laos, Myanmar, Nepal, Thailand, Vietnam, Pakistan, Taiwan, Tibet, India (Jammu and Kashmir, Himachal Pradesh, Garhwal, Sikkim, West Bengal).
18. Onychium japonicum (Thunb.) Kunze Bot. Zeitung (Berlin) 6: 507 (1848).
Specimen examined: Secjan (SAM 822), 15/07/2011, 2430 m; Aharbal (SAM 831), 19/07/2011, 2340 m; Kongwatan (SAM 871), 13/09/2011, 2360 m.
Synonym: Caenopteris japonica (Thunb.) Thunb.; Cryptogramma japonica (Thunb.) Prantl; Trichomanes japonicum Thunb.
Distribution: Bhutan, China, Indonesia, Japan, Korea, Myanmar, Nepal, Pakistan, Philippines, Thailand, Vietnam; Pacific islands, India (Jammu and Kashmir, Himachal Pradesh, Uttarakhand, West Bengal, Meghalaya, Assam, Nagaland).
Medium size fern growing on open rocky meadows near streams, rhizome long-creeping, branched, fronds slightly dimorphic (fertile fronds more coarsely divided than sterile), stipes similar in length or shorter than the lamina, lamina 3-4 pinnate, deltate-oblong, olive-green, papery when dry, rarely occurring from 1700-2500 m altitude.
Specimen examined: Kund (SAM 909), 27/09/2012, 2300 m.
Synonym: Allosorus nitidulus C. Presl; Cheilanthes nitidula Hook.; Mildella henryi (H. Christ) Hall & Lellinger; Pellaea henryi H. Christ; P. nitidula Wall. ex Hope; Pteris nitidula Wall.
19. Pellaea nitidula Wall. ex Hope, Journ. Bombay Nat. Hist. Soc., 13: 444 (1901).
Small terrestrial fern growing amongst large boulders, stipes dark-brown, shinny, covered with reddish-brown hairs, lamina brownish-green, ultimate segments linear to lanceolate, simple, indusiate false, continuous, brown, membranous with irregularly dentate margin, rare with altitudinal range from 1700-2500 m.
Specimen examined: Kund (SAM 905), 20/17/2011, 2017 m.
Distribution: China, Nepal, Pakistan, Taiwan, Tibet, India (Kashmir, Himachal Pradesh, Garhwal, Kumaun).
20. Pteris creticaL., Mant. Pl. 1: 130 (1767).
Commonly occur in open rocky meadows having dimorphic fronds, sterile fronds usually small and bending
Synonym: Pteris serraria Sw.; P. treacheriana Baker; P. trifoliata Fee.; P. triphylla M. Martens & Galeotti; P. nervosa thumb.; Pycnodoria cretica (L.) Small.
backwards, fertile fronds with longer and stronger stipes, lamina imparipinnate, herbaceous-sub-coriaceous, pinnae lanceolate, margin spinulose-serrate, sori continuous, submarginal covered by false indusium of reflexed pinnae margin, common from 1800-3000 m altitude.
Specimen examined: Secjan (SAM 830), 15/07/2011, 2400 m; Aharbal (SAM 913), 17/08/2012, 2270 m; Heerpur (SAM 942), 29/09/2012, 2520 m.
Distribution: Afghanistan, Australia, Africa, Europe, Iran, Bhutan, Burma, China, Nepal, Sri Lanka, Pakistan, Philippines, Korea, Taiwan, Thailand, Japan, India (Kashmir, Himachal Pradesh, Garhwal, Kumaun, West Bengal, Assam, Nagaland, Madhya Pradesh, Tamil Nadu, Kerala).
21. Pteris stenophylla Wall. ex Hook. et Grev., Icon. Filic., t. 130 (1829).
Terrestrial fern growing amongst dry rocks in open forests, pinnae 3-5 clustered at stipe apex, fronds dimorphic, apex of sterile pinnae small and coarsely dentate-serrate, fertile pinnae longer and narrower than sterile, rare with altitudinal range of 2500-3000 m.
Synonym: Pteris cretica L. var. stenophylla (Wall. ex Hook. & Grev.) Baker; P. digitata Wall.; P. pellucid C. Presl. var. stenophylla (Wall. ex Hook. & Grev.) C. B. Clarke.
Distribution: Bhutan, Nepal, Philippines, India (Jammu and Kashmir, Himachal Pradesh, Garhwal, Sikkim, West Bengal, Dehra Dun).
Specimen examined: Kellar (SAM 820); 28/08/2011; 2230 m.
Dennstaedtiaceae Lotsy
(Previously mis-identified as Pteridium aquilinum (L.) Kuhn., Bot. Ost-Afrika 3: 11 (1879).
22. Pteridium revolutum (Blume) Nakai, Bot. Mag. (Tokyo) 39: 109 (1925).
Synonym: Pteridium aquilinum subsp. wightianum (J. Agardh) W.C. Shieh; Pteridium aquilinum var. wightianum (J. Agardh) R.M. Tryon; Pteridium capense var. densa Nakai; Pteris recurvata var. wightiana J. Agardh; Pteris revoluta Blume.
Distribution: North-Australia, tropical and subtropical regions of Asia including Bangladesh, Bhutan, China, Taiwan, Indonesia, Malaysia, Philippines, Thailand, Viet Nam, Nepal, Pakistan, Sri Lanka, India (Himachal Pradesh, Jammu and Kashmir, Kumaun, Assam, Meghalaya, Tamil Nadu, Kerala, Sikkim, Arunachal Pradesh, Manipur).
Terrestrial large fern grows in open, sunny slopes, forest floor and edges, rhizome subterranean, lamina hairy, nectaries on the underside at the base of pinnae and costae, sori continuous along margins, covered with double indusium, outer made of reflexed margin, inner obsolete, membranous, common with altitudinal range of 1800-2700 m.
Specimen examined: Aharbal (SAM 814), 05/06/2011, 2225 m; Secjan (SAM 832), 14/07/2011, 2400 m; Heerpur (SAM 930), 05/09/2012, 2540 m.
Synonym: Cheilanthes polypodioides Blume
23. Hypolepis polypodioides (Blume) Hook., Sp. Fil. 2: 63 (1852).
Large fern occurring on wet sandy slopes and open rocky areas near streams, rhizome long-creeping, hairy, stipes very long 50 cm or more, eglandular hairy, lamina hairy on both surfaces, sori exindusiate, round, intramarginal, partially protected by marginal reflexed teeth, rare growing from 1650-2200 m altitude.
Specimen examined: Kund (SAM 907), 27/09/2011; 2025 m.
Distribution: Bangladesh, Burma, China, Indonesia, Laos, Malaysia, Myanmar, Nepal, Philippines, Taiwan, Thailand, Vietnam, India (Arunachal Pradesh, Himachal Pradesh, Manipur, Sikkim, South India, Uttar Pradesh, Uttarakhand).
Thelypteridaceae Pichi Sermolli
Synonym: Aspidium Phegopteris (L.) Baumg.; Dryopteris phegopteris (L.) C. Chr.; Gymnocarpium phegopteris (L.) Newman; Lastrea phegopteris (L.) Bory; Nephrodium phegopteris (L.) Prantl; N. phegopteris (L.) Baumg. ex Diels; Phegopteris phegopteris (L.) Keyserl.; P. vulgaris Mett.; P. polypodioides Fee; Polypodium connectile Michx.; P. phegopteris L.; Polystichum phegopteris (L.) Roth; Thelypteris phegopteris (L.) Sloss. ex Rydb.
24. Phegopteris connectilis (Michx.) Watt., Canad. Nat. 29 (1866).
Medium size fern growing on cool moist cliffs and woods along stream banks, rhizome black, stipe clothed with unicellular white hairs, rachis winged, lamina triangular, hairy, hairs transparent, needle-like, pinnae adnate to the rachis, lowest pair drooping down and out, frequent with distributional range from 2700-3100 m altitude.
Specimen examined: Dubjan (SAM 834), 27/07/2011, 3000 m; Kund (SAM 877), 07/09/2011, 2450 m.
Distribution: China, Caucasus, Europe, Japan, Siberia, Pakistan, India (Kashmir, Himachal Pradesh, Garhwal, Uttar Pradesh, Kumaun, Sikkim).
25. Pseudophegopteris levingei (C.B. Clarke) Ching, Acta Phytotax. Sin. 8: 314 (1963).
Medium size fern growing along streams in thickets, forests amongst boulders, rhizome thin, fronds remote, green, delicate, lamina lanceolate or oblong-lanceolate, herbaceous, base gradually tapering, apex acuminate, pinnae sessile, alternate, common from 2100-3000 m altitude.
Synonym: D. levingei (C. B. Clarke) C. Chr.; D. purdomii C. Chr.; Gymnogramma aurita var. levingei C. B. Clarke; G. levingei (C. B. Clarke) Baker; Leptogramma aurita var. levingei (C. B. Clarke) Bedd.; L. levingei (C. B. Clarke) Bedd.; Phegopteris levingei (C. B. Clarke) Tagawa; Thelypteris levingei (C. B. Clarke) Ching; Lastrea levingei (C.B. Clarke) Copel.
Distribution: Afghanistan, Bhutan, China, Pakistan, Tibet, India (Jammu and Kashmir, Himachal Pradesh, Uttarakhand, Sikkim, Darjeeling hills).
Specimen examined: Dubjan (SAM 807), 16/06/2011, 1950 m; Aharbal (SAM 828), 01/07/2011, 2180 m; Heerpur (SAM 853), 11/07/2011, 2550 m.
26. Pseudophegopteris pyrrhorachis (Kunze) Ching, subsp. distans (Mett.) Fraser-Jenk., New Sp. Synder. Indian Pterid.: 214 (1997) (Figure 3).
Large fern growing in rocky meadows alongside streams, rhizome thin, long-creeping, stipe base red castaneous, hairy, rachis blackish-brown, densely hairy, lamina abaxially hairy, pinnules narrow, lanceolate, rare from 2000-2800 m altitude.
Synonym: Phegopteris distans (D. Don) Mett.
Distribution: China, Malaysia, Philippines, Taiwan, Polynesia, Sri Lanka, Vietnam, India (Jammu and Kashmir, Himachal Pradesh, Uttarakhand, Sikkim, Darjeeling hills, south India).
27. Pseudophegopteris pyrrhorachis (Kunze) Ching, subsp. laterepens (Trotter in Hope) Fraser-Jenk.; New Sp. Synder. Indian Pterid. 215 (1997).
Specimen examined: Secjan (SAM 897), 15/09/2012, 2450.
Synonym: Polypodium Laterepens Trotter in Hope; Dryopteris Laterepens (Trotter) C. Chr.; Thelypteris laterepens (Trotter) R. Stewart.
Distribution: Pakistan, India (Kashmir).
Very large fern occurring in forest under-stories near streams, rhizome shot-creeping, thick, stipe long with sparse scales, rachis stramineous, hairy, lower pinnae distant, pinnules wide, deeply lobed, occasional from 20002700 m altitude.
Specimen examined: Kund (SAM 925), 10/09/2012, 2400 m.
Synonym: Asplenium glanduliferum Wall., nom. nud.; Christella erubescens (Wall. ex Hook.) H. Leveille; Dryopteris braineoides (Baker) C. Chr.; D. erubescens (Wall. ex Hook.) C. Chr.; Glaphyropteridopsis erubescens (Wall. ex Hook.) Ching; Glaphyropteris erubescens (Wall. ex Hook.) Fee; Lastrea erubescens (Wall. ex Hook.) Copeland; Nephrodium braineoides Diels; N. erubescens Diels; Phegopteris erubescens (Wall. ex Hook.) J. Sm.; Polypodium braineoides Baker; P. erubescens Wall. ex Hook.; Thelypteris erubescens (Wall. ex Hook.) Ching.
28. Cyclosorus erubescens (Wall. ex Hook.) C. M. Kuo, Taiwania 47: 171 (2002).
Terrestrial large fern growing amongst boulders along stream banks, rhizomes erect, woody, stipe ribbed, rachis rectangular abaxially hairy, basal pinnae deflexed and forward, margin lobed, basal pair of lobes touching the corresponding lobes above and below; rare from 20003600 m altitude.
Specimen examined: Kund (SAM 906), 27/09/2011, 2050 m.
Distribution: Bhutan, China, Indonesia, Malaysia, Taiwan, Japan, Myanmar, Nepal, Pakistan, Philippines, Vietnam, India (Jammu and Kashmir, Himachal Pradesh, Uttarakhand, Kumaun, Sikkim, West Bengal, Meghalaya, Tamil Nadu).
Aspleniaceae Newman
Synonym: Asplenium andrewsii A. Nelson; A. chihuahuense J. G. Baker; A. dubiosum Davenport
29. Asplenium adiantum-nigrum L. Sp. Pl. 2: 1081 (1753).
Lithophytic medium size fern growing on rocky woods, hedge banks, shady walls and rocks bearing evergreen fronds, stipes clustered, lustrous, lamina 2-3 pinnate, darkgreen, glossy, thick, coriaceous, margins acutely dentate to serrate, frequent with distributional range of 1700-3000 m altitude.
Specimen examined: Secjan (SAM 815), 25/06/2011, 2600 m; Kellar (SAM 854), 16/08/2011, 2150 m. Narwani (SAM 889), 19/09/2011, 1720 m.
Distribution: Africa, Afghanistan, Europe, Japan, Iran, Java, Nepal, Taiwan, Turkey, Pakistan, North America, India (Kashmir, Himachal Pradesh, Garhwal, Kumaun).
30. Asplenium x alternifolium Wulfen, Jacq. Misc. Austr. Bot. 2: 51 (1781).
Small lithophytic fern growing among rock crevices, a cross product of Asplenium septentrionale and A. trichomanes, lamina pinnate, up to 2x1 cm, lanceolate, pinnae alternate, petiolate, oblanceolate-cuneiform, base cunate, apex toothed; sori indusiate, linear, rare from 22003300 m altitude.
Synonym: Asplenium x breynii Retz; Asplenium x germanicum Hope
Distribution: Europe, India (Kashmir, Himachal Pradesh).
31.
Specimen examined: Huran (SAM 869), 14/08/2011, 3100 m.
Synonym: Asplenium ceterach L; Ceterach officinarum Willd.; Scolopendrium ceterach Symons; Vittaria ceterach Bernh.; Grammitis ceterach Sw.; Gymnogramme ceterach Spring; Hemidictyum ceterach (L.) Bedd.
Asplenium ceterachL., Sp. Pl. 2: 1080 (1753)
Small lithophytic fern growing in relatively dry conditions, stipes short, brown, densely covered with brown, concolorous scales, lamina leathery, abaxially deep green, glabrous and adaxially dense scaly, margin slightly bending upwards revealing the scales, alternately lobed, frequent from 1700-2600 m altitude.
Specimen examined: Kund (SAM 896), 27/09/2011, 1930 m.
Distribution: Afghanistan, Australia, Brazil, Scotland, Siberia, Tibet, Ireland, Pakistan, Africa, Europe, India (Kashmir, Himachal Pradesh, Uttarakhand).
32. Asplenium dalhousiae Hook. Icon. Pl. 2: pl. 105 (1837).
Terrestrial small fern occurring in rocky meadows, stipe brown, indumenta of scales throughout, lamina deeply pinnatifid, subcoriaceous, gradually narrowed towards base, lobes alternate, spreading, lower distant, rare from 1700-2700 m.
Synonym: Asplenium alternans Wall.; A. rupium Goodd.; Ceterach alternans Kuhn; Ceterach dalhousiae (Hook.) C. Chr.
Distribution: Afghanistan, Africa, Bhutan, Ethiopia, Nepal, Pakistan, Africa, North America, India (Jammu and Kashmir, Himachal Pradesh, Garhwal, Arunachal Pradesh, Kumaun, Sikkim, West Bengal, Meghalaya, Manipur, Rajasthan).
Specimen examined: Kund (SAM 904), 27/09/2012, 1900 m. Zainapora (SAM 931), 15/05/2012, 1630 m.
33. Asplenium kukkonenii Viane & Reichstein, Pteridol. New Mellenium, 18 (2003).
Distribution: Nepal, India (Jammu and Kashmir, Himachal Pradesh, Uttar Pradesh).
Very small fern grows on moist shady rocks on forest floor, lamina broadest below the middle, apex acute, bipinnate at base, pinnae triangular-ovate, pinnules rounded with acute teeth, lowest acroscopic pinnule the largest, rare with 2100-3300 m.
Specimen examined: Aharbal (SAM 886), 37/08/2011, 2600 m.
Synonym: Athyrium fontanum (L.) Roth; A. halleri Roth.; Aspidium fontanum (L.) Sw.; A. halleri (Roth) Willd.; Asplenium fontanum (L.) Bernh. subsp. pseudofontanum; A. lanceolatum subsp. fontanum (L.) P. Fourn.; A. halleri (Roth) DC.; A. leptophyllum Lag.
34. Asplenium pseudofontanum Kossinsky, Notulae Syst. Hort. Bot. Petrop. 3: 122 (1922).
Lithophytic small ferns commonly occur in rock crevices in forests, fronds clustered, evergreen, lamina finely dissected, widest above the middle, narrowed towards the both ends, rare with distributional range of 1800-3000 m altitude.
Specimen examined: Aharbal (SAM 810), 11/07/2011, 2350 m, Secjan (SAM 829), 21/07/2011, 2400 m; Kongwatan (SAM 899), 14/09/2011, 2650 m.
Distribution: Afghanistan, Pakistan, India (Jammu and Kashmir, Himachal Pradesh, Kumaun, Garhwal, West Bengal).
35. Asplenium punjabense Bir, Fraser-Jenk. & Lovis, Fern Gaz. 13: 53-63 (1985) (Figure 2)
Distribution: Afghanistan, Pakistan, India (Himachal Pradesh, Jammu and Kashmir).
Lithophytic fern growing in open rocky meadows, lamina brownish-green, thick, nearly pinnate with deep rounded grooves, adaxially glabrous, abaxially scaly, scales not dense, sori with rudimentary indusia, rare from 16502100 m altitude.
Specimen examined: Kund (SAM 903), 24/09/2012; 2020 m.
Synonym: Acrostichum ruta-muraria Lam.; Phyllitis ruta-muraria Moench; Amesium ruta-muraria Newmann; Tarachia ruta-muraria C. Presl; Asplenium murale Bernh.; A. cryptolepis Fernald; A. cryptolepis Fernald var. ohionis Fernald; A. ruta-muraria var. cryptolepis (Fernald) Wherry.
36. Asplenium ruta-murariaL. Sp. Pl. 2: 1081 (1753)
Small lithophytic fern growing in open sites in rick crevices, pinnae imparipinnate triangular, pinnules lateral, obovate or rhomboid, apex sub-rounded, margins irregularly sharp dentate, base cuneate, sori born along veins, rare from 2000-4000 m altitude.
Specimen examined: Secjan (SAM 855), 20/08/2011, 2400 m; Dubjan (SAM 888), 06/09/2011.
Distribution: Afghanistan, China, Iran, Japan, Kazakhstan, Korea, Nepal, Pakistan, Russia, Tajikistan; NW Africa, SW Asia, Europe, North America, India (Kashmir, Kumaun, Arunachal Pradesh).
37. Asplenium septentrionale (L.) Hoffman, Deutschl. Fl. 2: 12 (1795).
Synonym: Acrostichum septentrionale L.; Amesium sasaki Hayata; Scolopendrium septentroinal Reth; Belvisia septentrionalis Mirb.; Acropteris septentrioonalis Link; Blahnum septentrionale Wall.; Amesium septentrionale Newm.; Asplenium septentrional var. sasakii (Hayata) C. Chr.
Distribution: Afghanistan, China, Kazakhstan, Kyrgyzstan, W Mongolia, Nepal, Pakistan, Russia, Tajikistan; Africa, Europe, North America, India (Kashmir, Himachal Pradesh, Garhwal, Kumaun, Shimla).
Lithophytic fern grows higher altitudes in open sites in rocks crevices and cliffs in light forest; rhizome much branched to produce dense many stemmed, tufts or mats bearing numerous crowded leaves, lamina dichotomously 2 or 3 partite, sori confluent at maturity covering the entire surface, frequent from 2200-3500 m altitude.
Specimen examined: Aharbal (SAM 811), 10/07/2011, 2400 m; Secjan (SAM 823), 28/07/2011, 2350 m; Dubjan (SAM 843), 11/08/2011, 2800 m.
Synonym: Gymnogramma fauriei Christ, Asplenium subvarians Ching, A. shiobarensse Koidz
38. Asplenium tenuicaule Hayata, Icon. Pl. Formosan. 4: 228 (1914).
Small fern growing on moist shady rocks on forest floor, lamina bipinnate, 1 cm broad, oblong-lanceolate, pinnules alternate, born on thin delicate stalks, fan shaped to rounded-ovate, rare with altitudinal range from 20003600 m.
Specimen examined: Aharbal (SAM 922), 05/09/2012, 2600 m.
Distribution: Bhutan, China, Japan, Korea, Nepal, Pakistan, Philippines, Russia, Thailand; Africa, Pacific islands (Hawaii) India (Kashmir, Himachal Pradesh, Garhwal, Kumaun).
39. Asplenium trichomanes L. Sp. Pl. 2: 1080 (1753). Synonym: Asplenium melanocaulon Will.; A. trichomanoides Houtt.; A. minus Bl.; A. pusillum Bl.; A. densum Brack.; A. melaolepis Col. Chamaefilix trichomanes (L.) Farw. Trichomanes crenatm Gilib.; Pylilitis rotundifolia Moench.
Distribution: worldwide in all temperate zones, in tropics on high mountains, India (Kashmir, Himachal Pradesh, Uttarakhand, Uttar Pradesh, Sikkim, Assam, Meghalaya, Arunachal Pradesh, Manipur, Rajasthan, Tamil Nadu).
Lithophytic fern occurring in open moist areas, fronds clustered, evergreen, stipes brown- black to coppery, lustrous, brittle, lamina deep green, linear, abundant from 1650-3200 m altitude.
Specimen examined: Aharbal (SAM 808); 25/06/2011; 2250 m; Secjan (SAM 839), 22/08/2011, 2400 m; Narwani (SAM 872), 28/09/2011, 1780 m.
Synonym: Asplenium lankongense Ching
40. Asplenium varians Wall. ex Hook. & Grev. con. Filic. 2: 172 (1830).
Small fern grows on moss covered shady rocks on forest floor, fronds erect or arching, lamina bipinnate, lanceolate, pinnae extremely short stalked, triangular-ovate, pinnules obovate, sharply dentate on the outer margin, rare with altitudinal range of 1700-2900 m.
Distribution: Afghanistan, Bhutan, Burma, China, Hawaii, Japan, Korea, Sri Lanka, Philippines, Nepal, Vietnam, Africa, Taiwan, Thailand, India (Kashmir, Himachal Pradesh, Uttarakhand, Sikkim, West Bengal, Assam, Meghalaya, Tamil Nadu).
41.
Specimen examined: Aharbal (SAM 923), 05/09/2012, 2190 m.
Synonym: Asplenium ramosum L.; A. trichomanesramosum L.
Asplenium virideHudson, Fl. Angl. 385 (1762).
High altitudinal fern that grows on limestone rock crevices, fronds evergreen, stipe reddish-brown at base, green distally, lustrous, shallowly grooved on abaxial surface, rare from 2800-4200 m altitude.
Specimen examined: Kaunsernag (SAM 921), 28/08/2012, 3500 m.
Distribution: Afghanistan, Japan, Nepal, Pakistan, Russia, Europe, North America, India (Jammu and Kashmir, Himachal Pradesh, Uttar Pradesh).
Woodsiaceae Herter
Synonym: Aspidium senanense Franch. & Sav.; Asplenium atkinsonii (Bedd.) C.B. Clarke; A. lastreoides Baker; Athyrium lastreoides (Baker) Diels; A. microsorum Makino; A. monticola Rosenst.; A. senanense (Franch. & Sav.) Koidz. & Tagawa; Cystopteris grandis C. Chr. in H. Lev.; Davallia athyriifolia Baker; Dryopteris senanensis (Franch. & Sav.) C. Chr.; Pseudocystopteris atkinsonii (Bedd.) Ching
42. Athyrium atkinsonii Bedd. Ferns Brit. Ind., Suppl. 11. t. 359 (1876).
Middle size fern commonly grows on moist areas above tree line, Fronds single, lamina 3-pinnate-pinnatifid, broadly ovate or triangular, shortly acuminate or almost acute; pinnae distant, petiolate; frequent from 2500-3500 m altitude.
Specimen examined: Dubjan (SAM 875), 23/07/2011, 3200 m.
Distribution: Bhutan, Burma China, Taiwan, Nepal, Japan, Pakistan, Tibet, Taiwan, Korea India (Kashmir, Himachal Pradesh, Uttarakhand, Sikkim, Darjeeling hills, Arunachal Pradesh).
43. Athyrium attenuatum (Wall. ex C. B. Clarke) Tagawa, Acta. Phytotax. Geobot. 16: 177 (1956).
Terrestrial large fern growing on meadows and gentle mountain slopes, rhizome short-erect, covered with persistent leaf bases, stipe upward, stramineous, rachis succulent, sparsely scaly, lamina tapering at both ends, pinnae higher up congested, pinnule margin serrate, common from 2200-3500 m altitude.
Synonym: Asplenium filix-femina (L.) Bernh. var. attenuatum Wallich ex C. B. Clarke, Athyrium contigens Ching & Wu.
Distribution: Afghanistan, Bhutan, China, Nepal, Pakistan, India (Jammu and Kashmir, Himachal Pradesh, Uttarakhand).
Specimen examined: Aharbal (SAM 826), 15/06/2011, 2400 m; Secjan (SAM 835), 27/06/2011, 2300 m; Dubjan (SAM 900), 27/08/2012, 3460 m; Huran (SAM 932), 19/09/2012, 3340 m.
44. Athyrium distans (D. Don.) T. Moore, Index Filic.: 152 (1859).
Medium size fern grows on forest floor near water, rhizomes apex densely scaly, stipes long, purplish red to greenish stramineous, lamina 2-pinnate-pinnatisect, grassgreen, widest just above the base, pinnules distant, base asymmetrical, occasional from 1700-2500 m altitude.
Synonym: Asplenium distans D. Don., Athyrium imbricatum Christ, A. fangii Ching, A. sikkimense Ching; A. decorum Ching; A. nanyueense Ching in Ching & Hsieh
Distribution: China, Nepal, Japan, India (Kashmir, Himachal Pradesh, Uttarakhand, Sikkim, Darjeeling hills, Meghalaya).
45. Athyrium mackinnonii (Hope) C. Chr., Index Filic. Fasc. 3: 143 (1905).
Specimen examined: Aharbal (SAM 874), 18/07/2011, 2200 m.
Synonym: Asplenium mackinnonii Hope, Athyrium nigrips sensu Bedd., A. caudipinnum Ching
Distribution: Afghanistan, Myanmar, Nepal, Pakistan, Thailand, Vietnam, India (Jammu and Kashmir, Himachal Pradesh, Garhwal, Dehra Dun, Uttar Pradesh
Medium size fern grows on forest floor, rhizomes covered with persistent leaf bases, densely scaly; scales bicolorous, blackish-brown in central part, brown at margin, stipes pinkish, lamina pale green, pinnae lowest pair deflexed and opposite, rest alternate, ascending, veins visible on both surfaces, common from 1700-2700 m altitude.
Specimen examined: D. K. Pora (SAM 802), 10/06/2011, 1800 m; Aharbal (SAM 845), 10/07/2011, 2300 m; Heerpur (SAM 850), 15/07/2011, 2400 m.
Synonym: Allantodia denticulate Wall.; Asplenium denticulatum Wall. ex. J. Sm.; A. setudosum Wall. ex. J. Sm.; A. strigillosum T. Moore ex E.J. Lowe; A. tenuifrons Wall. ex Hope; Athyrium proliferum T. Moore; A. viviparum Christ
46. Athyrium strigillosum (T. Moore ex E. J. Lowe) Salomon, Nom. Gefasskrypt, 112 (1883).
Medium size fern growing on stream sides in valleys, stipe stramineous, thin, lamina 2-pinnate, triangularlanceolate, base hardly narrowed, apex acuminate, pinnules ascending, approximate, apex toothed, margin lobed, lobes serrate-dentate, rare from 1700-2500 m.
Specimen examined: Saangran (SAM 927), 20/08/2012, 2150 m.
Distribution: Bhutan, Japan, Myanmar, Nepal, India (Kashmir).
47. Athyrium wallichianum Ching. Bull. Fan Mem. Inst. Biol., Bot. 8: 497 (1938).
Medium size growing in alpine shrub meadows, rhizome thick, black, covered with brown scales, fronds green, clustered, rachis scaly and fibrillose, lamina thick, abruptly narrowed at the apex, pinnae crowded, sessile,
Synonym: Aspidium brunonianum Wall.; A. brunonianum Wall. ex Mett.; Lastrea brunoniana Wall. ex C. Presl.; L. brunoniana (Wall. ex Mett.) Bedd. L. brunoniana C. Presl; Dryopteris brunoniana (Wall. ex Mett.) Kuntz; Nephrodium brunonianum (Wall. ex Mett.) Hook.
pinnules round, margin serrate, duplicato-dentate, teeth triangular, common from 3300-4600 m altitude.
Specimen examined: Dubjan (SAM 836), 16/08/2011, 3500 m; Huran (SAM 890), 10/08/2012, 3360 m.
Distribution: Bhutan, Myanmar, Nepal, Pakistan, India (Kashmir, Himachal Pradesh, Dehra Dun, Garhwal, Kumaun, Sikkim, Arunachal Pradesh).
48. Cystopteris dickieana R. Sim, Gard. Farmers J. 2: 308 (1848).
Distribution: Afghanistan, China, Nepal, Pakistan, Japan, Iran, Africa, Europe, North America, Pakistan, Taiwan, India (Jammu and Kashmir, Himachal Pradesh, Uttarakhand).
Synonym: Cystopteris fragilis (L.) Bernh. f. granulos Bir & Trikha; C. fragilis (L.) Bernh. subsp. dickieana (Sim) Hook.; C. fragilis (L.) Bernh. var. dickieana (Sim) T. Moore; C. sikkimensis Ching ex Bir
Small fern growing in open slopes, forest floors and edges of forests, rhizome short- creeping, internodes beset with old petiole bases, stipes fragile, sori indusiate, round, indusium forming a hood over the sorus, spore exine rugose or verrucose, occasional with altitudinal range of 1800-2800 m.
49. Cystopteris fragilis (L.) Bernh. Schrad. Neues J. Bot. 1: 26 (1805).
Specimen examined: Aharbal (SAM 806), 15/06/2011, 2250 m; Secjan (SAM 852), 17/08/2011, 2350 m.
Synonym: Aspidium dentatum Sw.; A. fragile (L.) Sw.; A. viridulum Desv.; A. dentatum (Sw.) Gray; A. fragile (L.) Spreng.; A. fumarioides C. Presl; Cyathea anthriscifolia (Hoffm.) Roth; C. cynapifolia (Hoffm.) Roth; C. fragilis (L.) J. Sm.; Cystea angustata (Hoffm.) Sm.; C. dentata (Dicks.) Sm.; C. fragilis (L.) Sm.; Cystopteris acuta Fee.; C. baenitzii Dorfl.; C. canariensis C. Presl.; C. dentata (Sw.) Desv.
Distribution: Afghanistan, China, Nepal, Russia, Pakistan, Japan, Iran, Africa, Europe, North America, Pakistan, Taiwan, Korea India (Jammu and Kashmir, Himachal Pradesh, Uttarakhand, Nagaland
Morphologically similar to Cystopteris dickieana except in spore ornamentation, spore exine is echinate not rugose or verrucose, common from 1800-2800 m altitude.
Specimen examined: Sedow (SAM 837), 05/08/2011, 2350, m; Aharbal (SAM 851), 25/08/2011, 2250 m; Heerpur (SAM 865), 15/09/2011, 2400 m.
Synonym: Lunathyrium acutum Ching
50. Deparia acuta (Ching) Fraser-Jenk., New Sp. Syndrome Indian Pterid.: 104 (1997)
Medium size fern growing in open rocky meadow and mountain slopes, rhizome short-erect, scaly at apex, scales red-brown, stipe and rachis densely hairy, lamina much reduced towards base, apex acuminate, pinnae sessile, slightly ascending, frequent from 2300-3800 m altitude.
Specimen examined: Secjan (SAM 842), 03/07/2011, 2400 m; Huran (SAM 849), 10/08/2011, 2900 m.
Distribution: China, Pakistan, India (Kashmir, Himachal Pradesh, Uttarakhand).
51. Deparia allantodioides (Bedd.) M. Kato, J. Fac. Sci. Univ. Tokyo, Sect. 3, Bot. 13: 393 (1984).
Synonym: Asplenium thelypteroide sensu Clark, Athyrium allantodioides Bedd, A. thelypteroides sunsu Bedd., Deparia sikkimensis (Ching) Nakaike & Malk, Lunathyrium allantodioides (Bedd.) Ching, L. mackinnonii Ching, L. sikkimensis Ching
Distribution: Bhutan, China, Nepal, Tibet, Pakistan, India (Jammu and Kashmir, Himachal Pradesh, Uttarakhand, Sikkim, Arunachal Pradesh, West Bengal).
Large fern growing on forest floor with higher levels of moisture, stipe brown, hairy, rachis fibrillose, hairy, pinnae alternate, sessile, lower pinnae reduced, sometimes up to auricles, deflexed downwards, deeply lobed, lobes connected by a narrow wing, basal basiscopic pinnule outwards; common from 1900-3700 m altitude.
Specimen examined: Aharbal (SAM 812), 25/06/2011, 2450 m; Dubjan (SAM 819); 12/08/2011, 2500 m; Secjan (SAM 934), 25/09/2012, 2400 m.
Synonym: Asplenium macdonellii Bedd.; Athyrium macdonellii Bedd.; Cornopteris macdonellii (Bedd.) Tardieu; Deparia pterorachis (Christ) kato; Dryoathyrium macdonellii (Bedd.) Morton; Lunathyrium macdonellii (Bedd.) Khullar; L. macdonellii (Bedd.) Ching
52. Deparia macdonellii (Bedd.) M. Kato, J. Fac. Sci. Univ. Tokyo, Sect. 3, Bot. 13: 391 (1984).
Very large fern growing on forest slopes along streamlets, rhizome long-creeping, lamina basal pinnae triangular and opposite, deeply lobed near to the costa; lobes connected by a very narrow wing, sinus wide and cunate, apex rounded with sharp teeth, margin crenateserrate, occasional having altitudinal range of 1800-2700 m altitude.
Specimen examined: Dubjan (SAM 911), 02/08/2012, 2500 m.
Distribution: Japan, Pakistan, Japan, China, India (Kashmir, Himachal Pradesh).
53. Diplazium maximum (D. Don) C. Chr. Index Filic. fasc. 1: 235 (1905).
Terrestrial fern occurring amongst large boulders along streamlets and ravines, rhizome ascending with dense loose scales at apex, scales brown or chestnut, frond large, up to 180x90 cm, pinnules sessile, rounded apex, margin shallowly crenate, sori linear, diplazoid, common from 1800-2500 m altitude.
Synonym: Allantodia maxima (D. Don) Ching; Asplenium maximum D. Don; A. frondosum Wall.; Diplazium flaccidum Christ; Diplazium giganteum (Bak.) Ching in C. Chr.; Gymnogramma gigantae Baker; Diplazium frondosum (Clark) Christ.; Diplazium polymorphum Wall. ex Mett.
Distribution: Bhutan, China, Myanmar, Nepal, Pakistan, Polynesia, Vietnam, India (Jammu and Kashmir, Himachal Pradesh, Uttarakhand, Sikkim, West Bengal, Assam, Meghalaya).
54. Diplazium sibiricum (Turcz. ex Kunze) Kurata in Namegata and Kurata Enum. Jap. Pterid. 292: 340 (1961).
Specimen examined: Secjan (SAM 848), 05/08/2011, 2400 m; Kund (SAM 908), 20/08/2012, 2100 m; Kongwatan (SAM 947), 28/09/2012, 2450 m.
Synonym: Asplenium sibiricum Turcz. ex Kunze; A. crenatum Sommerf; Athyrium crenatum (Sommerf) Ruper ex Nyland; Allantodia crenata (Sommerf) Ching; Cystopteris crenata Fries; Dipazium sommerfeldtii Love & Love
Distribution: China, Japan, Korea, Russia, Europe, Nepal, Siberia, India (Kashmir, Himachal Pradesh, Uttarakhand).
Medium size fern growing on steep forest ravines, rhizome slender, long-creeping, black, stipe longer than lamina, lamina triangular, costae and veins below hairy; basal sori paired back to back on the same vein, others singular; frequent with 2300-2800 m.
Specimen examined: Dubjan (SAM 885), 28/07/2011, 2600 m.
Synonym: Aspidium dryopteris (L.) Baumgarten; Carpogymnia dryopteris (L.) A. Love & D. Love; Currania dryopteris (L.) Wherry; Dryopteris dryopteris Britton; D. pulchella (Salisb.) Hayek; D. linnaeana (L.) C. Chr.; D. pumila V.I. Krecz.; Filix pumila Gilib.; Lastrea dryopteris (L.) Bory.; Nephrodium dryopteris (L.) Michx.; Phegopteris dryopteris Fee; Polypodium dryopteris L.; P. pulchellum Salisb.; Polystichum dryopteris (L.) Roth; Thelypteris dryopteris (L.) Sloss
55. Gymnocarpium dryopteris (L.) Newman, Phytologist 4: 371 (1851).
Medium size fern growing on damp areas and among rock crevices near moisture in forests, rhizomes longcreeping, black-brown, apex densely scaly, stipe base purplish, above stramineous, lamina pentagonal-ovate, veins visible abaxially, sori exindusiate, frequent from 2000-2900 m altitude.
Specimen examined: Aharbal (SAM 804), 23/06/2011, 2400 m; Kongwatan (SAM 816), 20/07/2011, 2450 m; Heerpur (SAM 827); 12/08/2011, 2300 m
Distribution: Japan, China, Tibet, Nepal, Korea, Europe, North America, Pakistan, India (Jammu and Kashmir, Himachal Pradesh, Uttarakhand, Sikkim).
56. Woodsia alpine (Bolton) Gray, Nat. Arr. Brit. Pl. 2: 17 (1821).
Small fern occurring among rock crevices and screes at high altitudes, rhizome compact with cluster of persistent stipe bases, stipe lustrous, fibrillose and hairy, lamina pinnate to pinnatifid, hairy along the margin, indusia hairy, rare from 2500-3800 m altitude.
Synonym: Acrostichum alpinum Bolton; Woodsia alpina var. bellii G. Lawson; W. bellii (Lawson) A.E. Porsild; W. hyperboreum R. Br.; W. himalaica Ching & S. K.Wu.; W. ilvensis var. alpina Watt; W. ilvensis subsp. alpina Asch.
Distribution: Afghanistan, Iran, Tibet, Europe, N Asia, Pakistan, India (Kashmir, Himachal Pradesh, Uttarakhand).
Specimen examined: Huran (SAM 868), 20/07/2011, 3200 m.
Dryopteridaceae Herter
Synonym: Aspidium barbigerum (T. Moore ex Hook.) H. Christ; Dryopteris falconeri (Hook.) Kuntze; Lastrea barbigera (Hook.) T. Moore ex Bedd.; L. falconeri (Hook.) Bedd.; Nephrodium barbigerum Hook.; N. falconeri Hook.
57. Dryopteris barbigera (T. Moore ex Hook.) Kuntze, Revis. Gen. Pl. 2: 812 (1891).
Terrestrial fern growing in birch forests, stipe, rachis and lamina densely scaly and fibrillose; scales reddishbrown, lamina thickly herbaceous, pinnule lobes rounded with serrate and prominent acute teeth, occasional from 2800-4700 m altitude.
Specimen examined: Peergali (SAM 918), 18/08/2012, 3100 m; Dubjan (SAM 934), 16/09/2012.
Distribution: Bhutan, Pakistan, China, Tibet, Taiwan, Nepal, India (Jammu and Kashmir, Himachal Pradesh, Uttarakhand, Assam, Sikkim, West Bengal).
58. Dryopteris blanfordii subsp. blanfordii (Hope) C. Chr.; Ind. Fil. 254 (1905).
Terrestrial fern growing on forest floor, stipes with dark-brown base, fibrillose and scaly, scales ovate to lanceolate, brown, concolorous, glossy, margin fimbriate, lamina ca. 50x17 cm, pinnules slightly lobed or sometimes without lobes, segment apex with 2-3 sharp serratures, frequent from 1800-3500 m altitude.
Synonym: Dryopteris gongboensis Ching; Nephrodium blanfordii Hope
Distribution: Afghanistan, China, Tibet, Pakistan, Nepal, India (Kashmir, Himachal Pradesh, Uttarakhand).
59. Dryopteris blanfordii subsp. nigrosquamosa (Ching) Fraser-Jenk., Bull. Brit. Mus. (Nat. Hist.), Bot. 18: 388 (1989).
Specimen examined: Aharbal (SAM 893), 08/09/2011, 2300 m
Synonym: Dryopteris gushaingensis Ching; Dryopteris nigrosquamosa Ching
Distribution: SE Tibet, W. China, Nepal, India (Kashmir).
Terrestrial fern growing in steep abies forests, stipes densely fibrillose and scaly, scales broadly ovate, fuscousbrown, concolorous, crinkled, margins with filamentous projections, lamina ca. 40x12 cm, pinnules lobed, segment apex rarely sharply serrate, rare with 2600-3400 m.
Specimen examined: Dubjan (SAM 847), 05/07/2011, 2750 m.
Synonym: Aspidium dilatatum var. patuloides H. Christ, Dryopteris pseudomarginata Ching; D. pseudomarginata Ching; D. marginata sensu auct. West Himalaya, non (Wall. ex C. B. Clarke) Christ; Nephrodium marginarum sensu Hope
60. Dryopteris caroli-hopei Fraser-Jenk., Bull. Brit. Mus. Nat. Hist. Bot. 18: 422 (1989).
Large fern growing near stream banks under shade, rhizome thick, stipe base densely scaly, scales pale-brown, broad ovate, lamina pale-green, 2-3-pinnate, elongated ovate-lanceolate, pinnules deeply lobed to the costa (sometimes becoming pinnate), apex bluntly acuminate, occasional from 1700-2300 m altitude.
Specimen examined: Imamsahib (SAM 844), 15/07/2011, 1866 m; D. K. Pora (SAM 860), 29/07/2011, 1800 m.
Distribution: Bhutan, China, Nepal, Tibet, Yunnan, India (Jammu and Kashmir, Arunachal Pradesh, Manipur, Meghalaya, Nagaland, Himachal Pradesh, Uttarakhand).
61. Dryopteris filix-mas (L.) Schott, Gen. Fil. , sub pl. 9 1834.
Synonym: Aspidium depastum Schkuhr; A. erosum Schkuhr; A. expansum D. Dietr.; A. filix-mas (L.) Sw.; A. mildeanum Gopp.; A. nemorale (Salisb.) Gray; A. opizii Wierzb.; A. umbilicatum (Poir.) Desv.; A. veselskii Hazsl. ex Domin; Dryopteris patagonica Diem; Filix-mas filixmas Farwell; Lastrea filix-mas (L.) C. Presl; Nephrodium crenatum Stokes; N. filix-mas (L.) Rich.; Polypodium filixmas L.; P. heleopteris Borkh.; P. nemorale Salisb.; P. umbilicatum Poir.; Polystichum filix-mas (L.) Roth; P. polysorum Tod.; Tectaria filix-mas Cav.; Thelypteris filixmas Nieuwl.
Distribution: Africa, China, Argentina, Afghanistan, Russia, Greenland, Malaya, Peru, Mexico, Kazakhstan, Pakistan, Russia, Iran, Jamaica, Europe, North America, India (Kashmir, Uttarakhand).
Terrestrial fern growing under shade near moisture, rhizome long-erect, stipe grooved, scaly and fibrillose, lamina pale to mid-green above, pinnae shortly petiolate, pinnules lobed, lobe ending in an acute tooth, sori crowded, upper part of the lamina fertile, rare from 1700-3200 m altitude.
Specimen examined: Narwani (SAM 879), 25/07/2011, 1775 m.
Synonym: Aspidium filix-mas var. normale (C. B. Clarke) H. Christ; Dryopteris odontoloma (Bedd.) C. Chr.; Lastrea odontoloma Bedd.; L. odontoloma T. Moore; Nephrodium filix-mas var. normale C. B. Clarke.
62. Dryopteris juxtaposita H. Christ, Bull. Acad. Int. Geogr. Bot. 17: 138 (1907)
Medium size fern growing on forest floor near water, rhizome scaly, scales brown, fronds caespitose, lamina subcoriaceous, upper surface blue-green, lower surface whitish-green, sori round, mostly upper part of lamina fertile, indusia brown, rounded-reniform, occasional from 2200-3700 m altitude.
Specimen examined: Heerpur (SAM 883), 28/07/2011, 2715 m; Secjan (SAM 910), 05/09/2012.
Distribution: Afghanistan, Burma, Bhutan, Japan, Nepal, Tibet, Vietnam, China, Nepal, Thailand, India (Kashmir, Himachal Pradesh, Uttarakhand, Sikkim, West Bengal, Assam, Nagaland, Manipur, Meghalaya, Tamil Nadu).
63. Dryopteris nigropaleacea Fraser-Jenk., Bol. Soc. Brot., ser. 2, 55: 238 (1982).
Medium size fern growing near small streams banks, stipe very base scaly and fibrillose, lamina elongate, triangular-lanceolate, crispaceous, abaxially glaucous, adaxially blue-green, matt, glabrous; pinnae lobes rectangular with rounded-truncate and toothed apices, frequent from 1700-2800 m altitude.
Synonym: Dryopteris pallida Subsp. nigropaleacea Fraser-Jenk.; Nephrodium filix-mas Rich. var. normalis C. B. Clarke
Distribution: Afghanistan, Bhutan, Burma, Nepal, Pakistan, India (Jammu and Kashmir, Himachal Pradesh, Uttarakhand, Sikkim, West Bengal, Nagaland).
64. Dryopteris pulvinulifera (Bedd.) Kuntz, Revis. Gen. Pl. 2: 813 (1891).
Specimen examined: Dubjan (SAM 857), 27/07/2011, 2700 m; Heerpur (SAM 884), 18/08/2011, 2600 m.
Synonym: Dryopteris harae H. Ito; D. reholttumii M. Price; Lastrea pulvinulifera Bedd.; L. sparsa var. zeylanica Bedd.; L. pulvinulifera var. zeylanica Bedd.; Nephrodium pulvinuliferum (Bedd.) Baker; N. sparsum var. squamulosum C. B. Clarke
Distribution: Bhutan, China, Nepal, Sri Lanka, Philippines, India (Kashmir, Sikkim, West Bengal, Assam, Meghalaya, Nagaland).
Plants growing on steep forest floor under shade, rhizome thin, stipe base with densely scaly, scales bright golden, narrow, linear, lamina dark-green, deltoidlanceolate, lower part 4-pinnate, upper part 3-pinnate, pinnules pinnate, apices acute ending in few small acute teeth, pinnulets overlapping, occasional from 1700-2800 m altitude.
Specimen examined: Heerpur (SAM 813), 08/07/2011, 2600 m; Dubjan (SAM 858), 28/08/2011, 2800 m.
Synonym: Nephrodium ramosum Hope
65. Dryopteris ramosa (Hope) C. Chr., Index Filic. fasc. 5: 287 (1905).
Terrestrial large fern growing on forest floor, rhizome densely scaly and surrounded by stipe bases, lamina 3pinnate, deltate, apex acuminate, pale-green, pinnae distant, frequent with the altitudinal range of 2000-4000 m altitude.
Specimen examined: Dubjan (SAM 846), 18/07/2011, 2700 m.
Distribution: Afghanistan, Bhutan, California, Caucasus, Tibet, Europe, Nepal, Pakistan, India (Kashmir, Himachal Pradesh, Uttarakhand).
66. Dryopteris redactopinnata S.K. Basu & Panigrahi, Indian J. Forest. 3: 270 (1980).
Medium size fern growing on forest floor, stipe densely clothed with scales, scales light to mid-brown, concolorous, not glossy, lamina ca. 30x13 cm, glossy on upper surface, upper part of lamina fertile, indusia with brown center and pale brown margin, frequent from 2400-3800 m altitude.
Synonym: Dryopteris pseudofibrillosa Ching; D. tsangpoensis Ching
Distribution: Bhutan, China, Tibet, Taiwan, Nepal, Pakistan, India (Jammu and Kashmir, Himachal Pradesh, Uttarakhand, Sikkim, West Bengal).
67. Dryopteris stewartii Fraser-Jenk., Kalikasan Philip. J. Biol. 7: 272 (1979).
Specimen examined: Dubjan (SAM 878); 05/08/2011; 3320 m.
Synonym: Dryopteris odontoloma (Bedd) C. Chr. f. brevifolia Mehra & Khullar
Distribution: Afghanistan, Pakistan, Nepal, India (Kashmir, Himachal Pradesh, Uttarakhand).
Medium size fern growing on small stream banks, stipe base densely scaly, scales blackish-brown to brown, glossy, sometimes bicolorous, margin serrate, apex acuminate, lamina widest above the base, mid-green adaxially, green abaxially, frequent with altitudinal range of 1800-3100 m.
Specimen examined: D. K. Pora (SAM 856); 23/07/2011, 1850 m; Heerpur (SAM 870), 08/08/2011, 2550 m; Aharbal (SAM 895), 05/07/2012, 2400 m.
68. Dryopteris subimpressa Loyal, Nova Hedwigia 16: 467 (1968).
Synonym: Dryopteris lancipinnula Ching; D. submarginata Loyal; D. subodontoloma Loyal
Distribution: Bhutan, Nepal, China, India (Kashmir, Himachal Pradesh, Kumaun, Uttarakhand, Sikkim, West Bengal).
Medium size fern growing on small streams banks, rhizome long-ascending, stipe long, base scaly, scales pale brown, lamina deltoid-lanceolate, pale green, thinly leathery, basal pinnae pair largest, basal basiscopic pinnule of lowest pinnae largest, rare from 1800-2700 m altitude.
Specimen examined: D.K. Pora (SAM 856), 06/07/2011, 1830 m
Synonym: Aspidium donianum Spreng.; A. paleaceum Lag. ex Sw.; A. paleaceum (T. Moore) Dalla Torre & Sarnth.; A. parallelogrammum Kunze; A. patentissimum Wall. ex Kunze; A. Wallichianum Spreng.; Dichasium parallelogrammum (Kunze) Fee; D. patentissimum (Wall. ex Kunze) Fee; Dryopteris cyrtolepis Hayata; D. doiana Tagawa; D. doniana (Spreng.) Ching; D. himalaica (Ching & S.K. Wu) S.G. Lu; D. pachyphylla Hayata; D. paleacea (T. Moore) Hand. Mazz.; D. parallelogramma (Kunze) Alston; D. patentissima (Wall. ex Kunze) N.C. Nair; D. quatanensis Ching; D. ursipes Hayata; D. Walliachiana var. himalaica Ching & S.K. Wu; Lastrea paleacea (Lag. ex Sw.) T. Moore; L. parallelogramma (Kunze) Liebm.; L. patentissima C. Presl; L. patentissima (Wall. ex Kunze) J. Sm.; Nephrodium parallelogrammum (Kunze) Hope; N. patentissimum (Wall. ex Kunze) C.B. Clarke
69. Dryopteris wallichiana (Spreng.) Hylander, Bot. Notis: 352 (1953).
Very large fern growing on forest floor, rhizome massive, stipe very densely scaly, scales at stipe base blackish mixed with pale ones, scales upwards along with rachis light-brown to paler, mixed with few blackish ones, scale base usually dark, rachis densely scaly and fibrillose; lamina green to deep-green, large, ca. 70x22 cm, sori indusiate, round, 2/3rd of frond is fertile, indusia darkbrown, reniform falling off at maturity, frequent from 2300-3500 m altitude.
Specimen examined: Dubjan (SAM 929); 27/07/2011; 2725 m.
Distribution: Argentina, Bhutan, Borneo, Burma, China, Malaysia, Myanmar, Nepal, Jamaica, Cuba, Brazil, Tibet, Nepal, Taiwan, Japan, Mexico, Vietnam, Philippines, Java, India (Kashmir, Himachal Pradesh, Uttarakhand, Sikkim, Meghalaya, Arunachal Pradesh, Nilgiri hills).
70. Dryopteris xanthomelas (H. Christ) C. Chr., Index Filic., Suppl. 1: 41 (1913).
Large fern growing on forest floor and scrub zone, stipe black, base densely scaly and fibrillose, scales black,
Synonym: Aspidium xanthomelas Christ; Dryopteris discrete Ching & S. K. Wu; D. omeicola Ching; D. canaliculata Ching in C. Y. Wu; D. centrochinensis R. C. Ching; D. chingii Nair; D. fibrillosa (C. B. Clarke) Hand. Mazz; D. fibrillosissima Ching in C. Y. Wu; D. hupehensis Ching; D. pulcherrima Ching; D. qandoensis Ching in C. Y. Wu; D. rosthornii (Diels) C. Chr.; D. rosthornii sensu Stewart; D. sinofibrillosa Ching; Nephrodium rosthornii Diels
broadly lanceolate, glossy, apex acuminate, upper part together with rachis clothed with linear-lanceolate and linear, dentate scales, lamina ca. 30x10 cm, sori indusiate, upper part of lamina fertile, indusia brown, roundedreniform, frequent from 2400-3800 m altitude.
Specimen examined: Dubjan (SAM 880), 27/07/2011, 3320 m; Huran (SAM 945), 25/09/2012, 3450.
Distribution: Bhutan, Nepal, Pakistan, Tibet, Taiwan, India (Kashmir, Himachal Pradesh, Arunachal Pradesh, Uttarakhand, Sikkim, West Bengal).
71. Polystichum bakerianum (Atk. ex C.B. Clarke) Diels, Nat. Pflanzen fam. 1: 191 (1899).
Large fern growing on steep and open bushy areas at higher altitudes, stipe and rachis densely scaly and fibrillose, lamina abaxially scaly and fibrillose, pinnule margin lobed, lobes ending in a sharp long and curved tooth, frequent from 3000-3900 m altitude.
Synonym: Aspidium bakerianum (Atk. ex C. B. Clarke) Atk. ex Baker; A. prescottianum var. bakerianum Atk. ex C. B. Clarke; Polystichum prescottianum var. bakerianum (Atk. ex C. B. Clarke) Bedd.
Distribution: Afghanistan, Bhutan, China, Nepal, Pakistan, India (Kashmir, Himachal Pradesh, Uttarakhand, Sikkim, Arunachal Pradesh).
72. Polystichum castaneum (C. B. Clarke) B. K. Nayar & S. Kaur, Comp. Bedd. Handb. Ferns Brit. India, 50 (1974).
Specimen examined: Peergali (SAM 917), 18/08/2012; 3250 m.
Synonym: Aspidium prescottianum Wallich ex Mettenius var. castaneum C. B. Clarke; Polystichum prescottianum (Wallich ex Mettenius) T. Moore var. castaneum (C. B. Clarke) Beddome
Distribution: China, Myanmar, India (Jammu and Kashmir, Himachal Pradesh, Garhwal, Sikkim, West Bengal).
Medium size fern growing in alpine meadows, stipes and rachis very densely scaly and fibrillose, scales usually light-brown with few dark streaks mixed with blackishbrown, pinnae basal pairs slightly distant and reduced, margin serrate and spinulose, occasional from 3200-4600 m altitude.
Specimen examined: Dubjan (SAM 919), 10/08/2012, 3300 m
Synonym: Aspidium discretum D. Don; Polystichum discretum (D. Don) Diels; P. fuscopaleaceum Alston; P. indicum Khullar & S. C. Gupta; P. kathmanduense Nakaike; P. nigropaleaceum (H. Christ) Diels
73. Polystichum discretum (D. Don) J. Smith, J. Bot. 3: 413 (1841).
Large fern growing at shaded and humus rich areas, stipe densely fibrillose, scaly, scales dark-brown to almost black, lamina abaxially fibrillose, adaxially shiny, lowest pinnae pair deflexed forward and downwards, pinnule apex acute with prominent teeth curved towards pinna apex, occasional from 1700–2700 m altitude.
Distribution: Africa, Burma, China, Japan, Malaya, Sri Lanka, Bhutan, Myanmar, Nepal, Pakistan, Thailand, India, Kashmir, Himachal Pradesh, Uttarakhand, West
Bengal, Meghalaya, Bihar, Tamil Nadu, Sikkim, Manipur, Arunachal Pradesh).
74. Polystichum lachenense (Hook.) Bedd, Ferns Brit. India, pl. 32 (1865).
Specimen examined: Narwani (SAM 881), 25/07/2011, 1775 m; Kund (SAM 945), 24/09/2012, 2350 m.
Synonym: Aspidium lachenense Hook.; Polystichum aleuticum C. Chr. ex Holten; P. tsuchuense Ching in C. Y. Wu; P. sinkiangense Ching ex Chang Y. Yang; P. xinjiangense Ching ex C.Y. Yang.
Distribution: Burma, China, Japan, Bhutan, Myanmar, Nepal, Taiwan, Pakistan, Tibet, India, Kashmir, Himachal Pradesh, Uttarakhand, Sikkim).
Small fern growing under rocks, stipe dark brown to blackish-purple, glossy, rachis scaly and fibrillose, lamina fragile, abaxially fibrillose, pinnae deltoid-ovate, distant, lobed, lobes ending in acute tooth, upper half of frond fertile; rare from 3000-4200 m altitude.
Specimen examined: Huran (SAM 866), 10/07/2011, 3550 m; Kaunsernag (SAM 920), 28/08/2012, 3450 m; Dubjan (SAM 937), 20/09/2012, 3260 m.
Synonym: Aetopteron lonchitis House; Aspidium lonchitis (L.) Sw.; Dryopteris lonchitis (L.) O. Kuntze; Hypopeltis lonchitis Tod.; Polypodium lonchitis L.; Polystichum asperum Bubani
75. Polystichum lonchitis (L.) Roth. Tent. Fl. Germ. 3: 71 (1799).
Lithophytic fern growing at higher altitudes in alpine and subalpine regions, lamina linear to linear-lanceolate, base narrowed, drooping at tip, glossy, pinnae edges with spiny teeth, auricled at anterior and cunate at posterior bases, rare from 2700-4000 m altitude.
Specimen examined: Huran (SAM 862), 10/07/2011, 3550 m; Dubjan (SAM 938), 20/09/2012, 3330 m.
Distribution: Afghanistan, N. America, Iran, Ireland, China, Japan, Europe, Pakistan, India (Kashmir).
76. Polystichum luctuosum (Kunze) T. Moore Index Fil. 95 (1858).
Terrestrial fern growing in shady areas along streams with partial to no sun exposure, rhizome scaly, scales brown with blackish apex, lower pinnae bending forward and downward, pinnules auriculate, ovate-trapezoid, rare from 1700-2500 m altitude.
Synonym: Aspidium tsus-simense Hook.; A. luctuosum Kunze; A. aculeatum var. pallescens Franch.; Polystichum monotis Christ; P. falcilobum Ching; P. tsus-simense var. pallescens Franch. P. mayebarae Tagawa
Distribution: Japan, China, Korea, Madagascar, Nepal, Pakistan, Africa, Tibet, Taiwan, India (Jammu and Kashmir, Uttarakhand, Arunachal Pradesh).
77. Polystichum nepalense (Spreng) C. Chr., Index Filic. 1: 84 (1905).
Specimen examined: Kund (SAM 926), 16/09/2012, 1900 m.
Synonym: Aspidium auriculatum var. marginatum C. B. Clarke; A. marginatum Wall.; A. nepalense Spreng; Polystichum atroviridissimum Hayata; P. auriculatum var. marginatum Bedd.
Medium size fern growing in rocky meadows near stream, Stipes scaly and fibrillose, lamina pinnate,
narrowly lanceolate, slightly narrowed below, margin irregularly more or less entire or slightly serrate with pale colored teeth, rare from 2000-3200 m altitude.
Specimen examined: Secjan (SAM 928), 08/09/2012, 2400 m.
Distribution: Afghanistan, Bhutan, Burma, china, Japan, Myanmar, Nepal, Philippines, Sri Lanka, Tibet, Vietnam, Yunnan, India (Arunachal Pradesh, Darjeeling hill, Himachal Pradesh, Manipur, Meghalaya, Mizoram, Nagaland, Sikkim, Uttarakhand).
78. Polystichum piceopaleaceum Tagawa in Acta Phytotax. Geobot. 5: 255 (1936).
Terrestrial fern growing on forest floor, rocky meadows, lamina bipinnate, abaxially scaly and fibrillose, apex acuminate, lower pinnae pairs deflexed downwards; pinnules rhomboidal-ovate, frequent from 1800-3200 m altitude.
Synonym: Aspidium angular sensu Hope; Polystichum aculeatum var. fargesii H. Christ; P. bicolor Ching & S.K. Wu; P. doianum Tagawa; P. setiferum var. fargesii (H. Christ) C. Chr.; P. yunnanense var. fargesii (H. Christ) C. Chr.
Distribution: Afghanistan, Bhutan, Burma, China, Japan, Myanmar, Nepal, Pakistan, Sri Lanka, Taiwan, India (Jammu and Kashmir, Himachal Pradesh, Arunachal Pradesh, Uttarakhand, Assam, Manipur, Meghalaya, Nilgiri hills, Nagaland).
79. Polystichum prescottianum (Wall. ex Mett.) T. Moore. Ind. Fill.: 101 (1858).
Specimen examined: Aharbal (SAM 825) 05/07/2011, 2650 m; Heerpur (SAM 933), 24/07/2011, 2500 m; Secjan (SAM 894), 06/08/2012, 2450 m.
Synonym: Aspidium mouoinense Franch.; Aspidium prescottianum Wall. ex Mett.; Polystichum erinaceum Ching & S.K. Wu.; P. mouoinense (Franchet) Bedd.
Distribution: Afghanistan, Bhutan, China, Pakistan, Taiwan, Nepal; India (Kashmir, Himachal Pradesh, Uttarakhand, Sikkim, West Bengal).
Large fern forming colonies in open meadows above the tree line, fronds clustered, stipe base dark-blue, densely scaly and fibrillose, lamina densely fibrillose, pinnae margin deeply lobed, lobes/pinnules serrate with each lobe ending in an awn or spine, upper part of the frond fertile, common from 2800-3900 m altitude.
Specimen examined: Huran (SAM 861), 08/07/2011, 3200 m; Dubjan (SAM 939), 10/08/2012, 3300 m.
Synonym: Dryopteris lichiangensis (Wright) C. Chr.; Nephrodium lichiangense C.H. Wright; Polystichum lichiangense (Wright) Ching ex H.S. Kung; P. obtusipinnum Ching & H.S. Kung; P. prescottianum var. shensiense (H. Christ) C. Chr.
80. Polystichum shensiense Christ, Bull. Acad. Geogr. Bot. Mans. 16: 113 (1906).
Terrestrial fern growing above tree line, stipe and rachis scaly and fibrillose, scales light-brown, broad-ovate intermixed with lanceolate ones, pinnae sessile, alternate, triangular-lanceolate, margin deeply segmented or becoming pinnate, segments small with few marginal teeth, rare with the range of 3200-4500 m altitude.
Distribution: Bhutan, China, Taiwan, Tibet, Nepal, Pakistan, India (Kashmir, Uttarakhand, Himachal Pradesh).
81. Polystichum yunnanense H. Christ, Notul. Syst. (Paris) 1: 34 (1909).
Specimen examined: Kaunsernag (SAM 816), 15/07/2012, 3450 m; Dubjan (SAM 936), 26/09/2012, 3350 m.
Synonym: Polystichum gyirongense Ching; P. jizhushanense Ching; P. yunnanense var. submuticum C. Chr.; P. makino sensu Frase-Jenkins & Khullar
Distribution: Afghanistan, China, Tibet, Burma, Bhutan, Myanmar, Nepal, Pakistan, India (Jammu and Kashmir, Himachal Pradesh, Uttarakhand, Tamil Nadu, Sikkim, Arunachal Pradesh, Meghalaya, Manipur, Darjeeling hills).
Large fern growing on forest floor, stipes long brown, stipe base scaly, rachis densely fibrillose, scaly, lamina broadly lanceolate, dark bluish-green upper surface with little depressions opposite the sorus, basal acroscopic pinnule largest, margin deeply lobed, lowest lobe largest and parallel to the costa facing towards apex, margin with sharp teeth, frequent from 2000-3200 m altitude.
Specimen examined: Aharbal (SAM 873), 23/07/2011, 2250 m; Kund (SAM 912), 16/09/2012, 2120 m.
Botanical study of flora of particular area is an important aspect as it forms baseline information for the distribution of plant species or communities and their relation with physical environment. This paper gives a broad outlook about the pteridophytes of Shopian. About 81 species of ferns and fern allies have been collected in the course of the study for three consecutive years, 20102012; indicating that agro-climatic conditions of the study area are favorable for the growth and development of pteridophytes. The pteridophytes form a vital element of the ecosystem and most of them being forest dwellers that can be taken as good indicators of the extent of problems like deforestation and habitat destruction. Botanical explorations should increase in the under-explored botanically rich areas for documenting the diversity and ecological characteristics of pteridophytes. Taxonomic reinvestigations in such areas should take place to avoid the confusions with new species and existing species.
ACKNOWLEDGEMENTS
The first author is thankful to University Grants Commission (UGC), New Delhi, India for providing financial assistance to carry out the research work. Authors are also thankful to Late Dr. H. C. Pande (Sci.-'D') and Brijesh Kumar, Botanical Survey of India, Dehradun; Dr. Shweta Singh, Guru Gobind Singh Indraprastha University, New Delhi; and Prof. S. P. Khullar, Chandigarh for their help in the identification of plants and rendering me necessary literature facilities.
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No better place
Paul Robertson talks about his decision to leave his head of Technical role and join The Martin Gallier Project
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It’s taken me four years to get Paul Robertson to agree to be profiled and appear on the front cover of *Professional Paraplanner*. Ironically, it occurs just as he has left his position as head of Technical at Parkgate, to take up a role at The Martin Gallier Project, a mental health and suicide prevention charity.
Paul has a mathematics degree, is Chartered and a Fellow of the PFS and anyone who has met Paul would consider him a confident, outward going individual. As he puts it: “On paper, I had it all. A beautiful wife, an amazing family, great friends, and a good job.” But that was not the full picture and reading his story should make us think about how much we can take things at face value.
My thanks to Paul for finally appearing in the magazine and also for telling his story. You can read it on pages 8-9 and anyone wanting to find out more about the charity can do so here: https://www.themartingallierproject.org
Our thoughts are with countries like India and Brazil currently bearing the brunt of the Covid-19 virus. With the vaccine programme rolling out in the UK, it feels like there is a lifting of spirits here, and let’s hope the virus can be controlled worldwide as soon as possible. Throughout the Covid-19 crisis, we have been tracking paraplanners’ views on the markets and the global and UK economies. In the Parameters survey report in this issue, we show how paraplanners have responded and where your concerns now lie (see page 16).
This issue, we also have articles from the PFS Paraplanner Panel and the CISI’s Sally Plant, who raises concerns around recruiting career paraplanners into the industry.
With regard to *Professional Paraplanner* events, we are rolling out some super webinars for you this spring/summer including a series on Investment Trusts, which, in my view, are under utilised within financial planning. It is our hope also that we can start running our conference events from the autumn. We are keen to get out meeting people again and from a recent poll we undertook, many of you are as well. We will keep you informed.
**Rob Kingsbury,**
Editor, *Professional Paraplanner*
[email protected]
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**We are delighted to be launching a new series of Investment Committee Webinars, starting with a new series in association with the AIC: Investment Trust Insights.** During the series paraplanners can hear from managers of Scottish Mortgage, Schroder UK Mid Cap, and Real Estate at Aberdeen. Go to our website Events Page or look out for details on our daily emails to register for the first webinar on May 26 2021, at 10.30am.
The first event will explain the structural differences between open-ended funds and investment trusts, including discounts/premiums, gearing and the revenue reserve, and examine the implications of those differences for clients. It will also cover examples of how investment trusts can be used in portfolios, and address the practical question of how easy and cost-effective it is to use investment trusts on various adviser platforms.
Commenting on the launch of the series, Nick Britton, head of Intermediary Communications, AIC, says this: “Paraplanners have increasing influence on investment selection and are hungry to keep learning and improve their knowledge. We’re excited to be teaming up with *Professional Paraplanner* to launch a new series of events aimed exclusively at them.” The Investment Trust Insights series begins with a practical introduction to investment trusts and how they can be used with clients, together with a look at important market developments such as the rise of impact investing with investment trusts.
“We’ve also invited some of our most interesting portfolio managers to discuss how they use the closed-ended structure of investment trusts to execute a range of strategies, from traditional equities to commercial property and even unquoted companies.
“I hope this series of events will be of interest to all paraplanners, whether they feel fully confident with investment trusts, or want to fill gaps in their knowledge.”
---
**Professional Paraplanner Awards**
We are rapidly heading towards the closing date for nominations and entries for the 2021 Awards. The date has been extended by a week to midnight Friday 7 May, so if you haven’t entered the Paraplanner Awards and wish to do so, please do get your entry in within the next eight days. For an entry form please email [email protected].
In this issue...
6 Professional body
Caroline Stuart says the PFS Paraplanner Panel is back and planning for the future
7 Viewpoint Adam Keen, head of Paraplanning at Arlo International, looks at ESG investing in a way that truly meets client needs
8 Profile Paul Robertson talks to Rob Kingsbury about the catalyst in his life that prompted his decision to leave his role of head of Technical and join The Martin Gallier Project, a mental health support and suicide prevention charity.
10 Interview We talk to Laura Barnes, head of Intermediary Distribution at Parmenion about how the platform makes things easier for paraplanners
12 Dealing with disaster There are situations when business priorities and the team around you have to come before clients, says Michelle Hoskin
14 Industry challenge The CISI’s Sally Plant considers the ever growing need of the industry to recruit career paraplanners
16 Parameters Our regular survey
17 Exam prep The Brand Financial Training team explore investment ratios
18 Test Your Knowledge Our monthly Q&A
The Investment Committee
20 SME ESG The pendulum is shifting towards ESG in smaller companies, Tzoulianna Leventi, Investment Analyst, Aberdeen Standard Investments explains
22 Thinking ahead PremierMiton’s David Jane says the fund manager prefers to navigate to the future than predict it
24 Markets Darius McDermott, managing director, FundCalibre considers whether the current outperformance of value has longer legs than may be expected.
26 What is alternative? While structured products are categorised as alternative investments, modern portfolio theory shows they can improve the risk/reward ratio of portfolios making them more efficient
28 Sector This issue we look at the Healthcare sector
29 CPD Answer questions on the magazine to gain CPD
30 Data download Fund and pensions data
Follow us on Twitter @proffparaplanner
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GOOD TO BE BACK
Caroline Stuart, paraplanner member of the Personal Finance Society board and chair of the PFS Paraplanner Panel, says while the pandemic put many of the Panel’s projects on hold, now things are moving again, including the search for a new panel member.
This time last year, we were a few weeks into the first lockdown, and here we are now, a few weeks or so away from the end of the (hopefully) last one. It’s been a strange, challenging, and for some, a downright frightening year but there is light at the end of the tunnel and it feels like we may really be back on the road to normality.
Many things have changed, lots of people are now able to work in ways that probably wouldn’t have seemed possible before the pandemic. Greater flexibility, more ‘agile working’ and the increased use of technology has meant that we are still able to provide our clients with the help and service they need in what will have been worrying and often distressing times for them too. I think that we all rose to the challenge and have ensured not only a continued service for clients but on many occasions, an improved one.
Naturally, the Personal Finance Society Paraplanner Panel has also seen changes over the last year. Many of the plans that we had also had to be put on hold. Our annual roadshows became online events but actually ended up being some of the most attended due to the excellent content and presenters we had.
The biggest change for us was the departure of one of the Panel. Tom O’Hara had been a member since it began in 2015 but as he was moving away from paraplanning into a more senior role in his business, he decided it was time leave the panel. We were all thrilled for him in his new role, but were obviously very sorry to see him leave. Tom has been a terrific member of the Panel and we send him a giant thank you for all the help and input he has provided during his time.
We started to look for Tom’s replacement but, of course and unfortunately, we had to put our search on hold until just recently. As we speak, the Panel are reviewing the applications from a number of paraplanners who’d like to join the team – and we really are spoilt for choice!
The current panel
So who do we have on the team at the moment representing our paraplanning community? We have both in house and outsource paraplanners, in a range of roles which gives a good spread of experience, knowledge and perspectives. In addition to myself, we currently have:
- Alan Gow of Argonaut Paraplanning
- Martin Green of Chadney Bulgin
- Rebecca Tuck of Paradigm Norton
We also have Megan Miller and Daniel Moodiar from the Personal Finance Society who recently joined the Panel and are already doing a fantastic job of supporting paraplanner members. We’ll be announcing our new member as soon as we’ve gone through the applications and know who that will be!
We’ve got a few other exciting things in the pipeline for this year, and we’ll be announcing them soon. In the meantime, we are glad to be back and looking forward to helping more paraplanners, so keep your eyes peeled for our announcements on Facebook and Twitter.
The PFS Paraplanner panel can be found at:
- www.facebook.com/PFSParaplannerHQ
- twitter.com/PFSParaplannerHQ
Environmental, social and Governance (ESG) issues have been a part of people’s lives for some time now, with extreme weather events across the globe and Greta Thunberg-inspired climate protests making headlines in recent years. Inevitably, such events have had an impact on how people want to spend and invest their money, as more consumers than ever want to save and invest in companies that have a positive impact while avoiding those that do not meet their environmental, social, or ethical standards.
The subsequent growth of ESG investing has pushed many companies in sectors ranging from fossil fuels to tobacco to transition in recent years, to change their public image and continue attracting investment. Companies such as Shell are high-profile examples of firms which radically altered their visions and plans due to pressure from institutional shareholders, with the adoption of more planet-friendly policies and championing diversity in their leadership teams.
Regulators have also supported the ESG agenda with more verve in recent years. For example, the UK Government implemented reforms in 2020 that mean pension funds now have an explicit responsibility to integrate sustainability into their investment approach.
**Pandemic push**
The COVID-19 pandemic has only served to accelerate ESG’s rise, with many retail investors re-evaluating their lives, including their current investments, and updating their portfolios in line with their social and economic values.
What has also persuaded investors to focus on ESG investments has been the poor performance of traditionally preferred stocks such as commercial property during the pandemic, giving ESG investments the opportunity to grow from fringe players to star performers.
The strong performance of these ESG assets – renewable energy in particular – has shifted the perception of ESG from ‘nice to have’ to an investment that is likely to generate alpha for investors. As a result, according to Morningstar, money invested into ESG funds rose to $71.1bn between April and June 2020, pushing the total invested in these funds to over $1trillion globally.
**The right selection**
However, despite the growing success ESG investors are having, it can still be difficult to plot the right investment path, with sustainable investment jargon making choosing a suitable investment portfolio a sometimes-confusing process. The term ESG itself can be interpreted in a variety of ways and each investor will have a personal criteria when it comes to sustainable investing. For example, investors need to look at whether the company pays their staff fairly; but how do you define fair pay? Others will look at whether the company has net-zero carbon emissions; but is their supply chain ethical? As a result, it’s no surprise that first-time investors can be overwhelmed about how they can choose a portfolio that meets their criteria before they’ve even started.
With confusing terminology and ambiguous definitions in many cases, investors can also get sucked into FOMO-induced losses, where an investment is made off the back of a previous year’s high performance without a long-term outlook. With ESG growing at such a fast-rate, it can be easy for investors to simply follow the performance of a company in the previous year without fully understanding the implications of the market.
**Helping hand**
Financial advisers can help explain the different sub-sections of ESG and assist investors in making the right investments, from low carbon companies, thematic investments such as clean energy and forestry, or equality-based funds. Advisers can also help clients to create investment plans which don’t just pay lip service to sustainable investing trends, but that actually meet the needs of the investor.
Additionally, to help investors avoid just jumping on the latest ESG bandwagon, advisers should select ESG investments just like traditional funds or stocks, which are chosen and are valued in a sustainable and fair way. This is done by looking for large-cap companies with strong brands or up and coming businesses with difficult to replicate business models.
**Bright future**
ESG is set to stay firmly at the top of the agenda for investors and managers – it’s a shift that shows no sign of slowing. However, selecting the right assets that don’t just pay lip service to a growing trend can be challenging for investors, particularly inexperienced ones. To guide investors along the way, financial advisers are on hand to provide the clarity and knowledge which helps investors find assets that meet investor’s ambitions, views, and goals for the future while also delivering returns.
As a paraplanner Paul Robertson had achieved the highest of industry qualifications, Fellow of the Personal Finance Society, and he had progressed his career to Head of Technical at independent financial advice firm Parkgate.
Paul first worked for Parkgate when he was 16-years-old as part of his work experience and five years later, having graduated from Liverpool University with a mathematics degree, he was given the opportunity by the owner Bill Ward to work over the summer to help with the IT. That quickly led to him being offered a job as a financial planning administrator. Over the next two years Paul qualified as a mortgage adviser and gave mortgage advice in addition to his administration role.
In November 2011, he moved into a paraplanning role and began the Ro and AF exams. He attained Chartered status in 2016 and became a Fellow of the PFS in November 2018. In January 2019, he was promoted to Head of Technical, providing technical support for the advisers and paraplanning team, heading up the Investment Committee and being the dedicated paraplanner for Parkgate’s senior partner.
He also married his long-term partner Bailey. Life seemed good – as he says: “On paper, I had it all. A beautiful wife, an amazing family, great friends, and a good job.”
Alongside this seemingly ‘normal’ and successful life, however, since childhood Paul had suffered from obsessive-compulsive disorder (OCD). “I used to do hundreds of routines/rituals every day just so that everything felt right,” he says. “It was normal for me growing up because I didn’t know any different. It wasn’t until my teenage years that I realised that I had an issue.”
In November 2018, he read a book called *Brain Lock*. “It taught me the Four-Step Method to recovery from OCD. I applied the techniques in that book to every aspect of my life and after suffering with severe OCD for 30 years, I managed to break free from it in just over three weeks.”
Then in May 2019, he caught a viral infection that caused insomnia. Weeks of sleep deprivation resulted in his anxiety flaring up “and then depression hit me like brick. A crippling 19-month battle with severe anxiety and depression took me to the darkest depths of my life.”
While on paper, as he said, he had it all, off paper, he says, “I did not want to carry on living.”
Paul tells it like this: “I was in what you could call the Suicide Limbo, torn between the torment of living with severe anxiety and depression and the overwhelming guilt I felt because of what taking my own life would do to my loved ones.
“From my point of view, there was no escape. The pit of anxiety and depression was so deep with no glimmer of light to cling on to. Each and every day was a struggle and simple tasks seemed impossible. It was like someone switched my brain off and sucked all life out of my body. I tried all of the techniques that I was equipped with to climb out of the pit, but nothing seemed to work.”
**The Martin Gallier Project**
It was in November 2020, that Paul contacted The Martin Gallier Project, the mental health support charity based on the Wirral which specialises in suicide prevention. “That was when the tide started to turn for me,” he says. In his first call with one of the Project’s suicide intervention workers, he spent 40 minutes on the phone. “She listened to me without judgment while I explained the position I was in and how I had got there.” He then had a meeting with her, as part of which they tackled the sleep deprivation issues which had caused Paul’s struggles and within a week, he attended the Project’s men’s support group.
“Getting my sleep pattern back on track played a major part in my recovery and to help with that, I started going to bed and getting up at the same times every day. I also introduced a morning routine which consists of 10 minutes of journaling, 10 minutes of reading, 10 minutes of meditation and 30 minutes of exercise.
“Opening up to others, drinking plenty of water, spending time in nature, exercising, cutting down on caffeine and having a good, balanced diet also helped with my recovery.”
The same worker called him every other day to see how he was getting on with his sleep routine. “I needed someone to hold me accountable and to make sure I followed the plan. Once I had re-established good sleep patterns, I was surprised at the rate at which things started to fall back into place.”
Discovering The Martin Gallier Project, Paul says, “literally saved my life. Not only that but now I feel like I have my life back.”
Paul started volunteering at the Project, co-facilitating the men’s support group, ‘Martin’s Man Cave’ as it is called. Then the founder, Jessica Gallier, offered him the opportunity to work for the project part time, helping to expand the charity’s capabilities with the launch of its online mental health and wellbeing resource called Compass, alongside promoting the charity’s Workplace Wellbeing Packages into the corporate world.
“It was a tough decision leaving the company I’d been at for over a decade but I felt it was something I really wanted to do. Bailey, my wife, who is a paraplanner at Astute Private Wealth in Liverpool, was so supportive as were friends and work. Parkgate have been understanding and supportive all the way through my struggles and during my darker times were in contact with me every week and we have parted on really good terms.”
**New career path, new life**
The Martin Gallier Project, Paul says, is “fiercely dedicated to preventing suicides, breaking down stigma and supporting families, including those bereaved by suicide. The services provided are life changing and services like this are needed now more than ever, especially in the current climate.”
Alongside working two days a week at the Project he works two days at Wirral Mind. “At Wirral Mind, we are building a network of people with lived experience of suicide and/or self-harm, to give them the opportunity to share their views and help with the development of services going forward. The people I’m contacting are so inspirational; every person that I speak to, people who have gone through hell with their own mental health or with family members who have suffered, wants to help.”
On his ‘free day’, Paul has turned his hobby, drone flying, into a business, working as a freelance drone photographer and videographer.
His experience, as dark as it was at times, has literally changed his life, he says. “I loved my job as a paraplanner and working for Parkgate, but I can honestly say, I have never been happier in my life. I took a big pay cut to work in the charity sector but I’m so passionate about using my own experience to help others and make a difference. It’s so aligned with what I want to do that I can’t think of a better place to be. I go to work every day with a big smile on my face.”
**Paul’s personal advice**
“For those struggling with their mental health and finding it difficult to move forward, please reach out and ask for help. You are not alone and there is always light at the end of the tunnel, no matter how dark that tunnel may seem.”
Rob Kingsbury spoke to the Parmenion’s Laura Barnes about the company’s ethos, how it works and, most importantly, how it looks to support paraplanners and make their lives easier.
What I’m interested in is the people in an advice business,” says Laura Barnes, head of intermediary distribution, Parmenion. “I’m here to ensure we nurture the relationships with have with adviser firms, including the paraplanners. One of the things that struck me when I first came to Parmenion last year, is that as a company we ‘get’ paraplanners, what they do and what they are about.”
Laura was recruited to Parmenion in 2020, into the specifically and newly created role, having worked in senior distribution roles for the likes of Aegon, Cofunds and AXA Wealth. “Parmenion is a very people focussed environment; by that I mean there is a focus here on putting the people who use our functionality at the heart of things.
“I’ve worked in the industry for a long time and I know that can be easy to say but harder to do, especially on a consistent basis. But we realise that it’s those who on a day-to-day basis are using our systems and services who we need to be supporting and engaging with, not just the business owners.
“We also know that the experience of the end client, the one ultimately we are all focussed on, is made better by us giving a delightful service to paraplanners. And we choose our words carefully.”
This focus, Laura explains, has been driven by the realisation that since RDR, the financial planning world has evolved, notably in terms of the influence of paraplanners in advice businesses. “Now paraplanners are providing that core support, so the adviser can focus on seeing the client and the business owner can focus on running the business. When we think about engagement with a firm, whether from my team or when we are developing something in a co-creation environment, we involve paraplanners, so we understand what they need and they understand what we are doing and why.”
It’s also a matter of knowing where the value lies in the service Parmenion is providing, she adds. Parmenion combines discretionary managed investments, a platform and proprietary technology with excellent customer service offered as a comprehensive solution for advice firms.
“We focus on the overall experience. What’s popular and what’s positive about us is the way we manage the whole central investment proposition for someone, which helps to reduce risk, reduce cost and create value. We are significantly more efficient to deal with because we have developed our own technology, which means we can be far more dynamic and responsive than others in the market. That’s one side of things.
“The other side is looking at how our clients use the process, and asking that question of them, so that as we develop what we do, their input informs how we put in the building blocks in terms of the user journey. We are thinking constantly about the customer experience and how we can achieve a ‘one and done’ approach to the user experience.
“So, it’s really important to us that we keep in touch with people working in the adviser businesses, so we get the right answer to take into account when we are developing what we offer. Which is why, for any development we do, the proposition team will want to involve a range of advisers and a range of paraplanners in the process.”
Practical support
“To really provide the kind of service that we want for paraplanners, it’s no good just my team understanding the role of the paraplanner, it’s really important that everyone in the business understands what our customer want from us,” Laura explains.
“And equally important, is that when paraplanners need support, they know exactly where to go to get it.” That can be the relevant business development manager (BDM) or a member of the customer service team.
“Our customer service team is incredibly efficient. I want to make sure that paraplanners know which is the best conduit to get the information they need to get on with job they are doing.
“Wherever we can we are looking to provide that ‘one and done’ approach. We don’t want people being passed around in a loop to get the information they need.”
As an example of that approach, Laura describes how during the pandemic her team changed its style of engagement, moving from promotion of the company “to ensuring we were supporting our customers in the way they wanted”. Hence, in response to virtual working which came in as the Covid-19
Importantly, having our values as a business aligned to what we want to deliver to the customer on the ground, keeps us accountable and clear on our purpose”
pandemic evolved, Parmenion rapidly adopted use of digital signatures, in the form of DocuSign.
“We introduced the process to help advice firms keep working with their clients and putting through documents. But then we thought, ‘how is this going to work in the future?’. It was clear digital signature wasn’t going to go away once lockdown ended, so we didn’t want it to be solely a point-of-sale process where the paraplanners and administrators then had to revert to a paper-based process.
“So we delivered change in two phases. First was the client-facing end and then in September 2020, we delivered the downstream process used by the back-office. And now we are looking at how we make that process even easier for advice businesses by expanding from an SMS verification system that only goes to an adviser’s phone, to also include a designated landline and email, so the paraplanner is not relying on getting in touch with the adviser to get on with their work. That’s how we are developing and looking to make a difference: one and done again.”
**Company ethos**
It’s the focus on people and that financial planning as a business is personal, which drives the ethos of Parmenion as a company and how people think in the business, Laura explains. “We are working on the ground to achieve the right outcomes, but we try to avoid a head office mentality. You can see this in the language that we use. We do less of listing general principles we want to adhere to and we do more about making them real. When we say ‘We want to be best loved’ in our central strategy, that is not a typical corporate expression. Similarly, as I said before, that we want to deliver a ‘delightful experience’ to paraplanners. The language reflects our fundamental values and what we want to achieve.
“Importantly, having our values as a business aligned to what we want to deliver to the customer on the ground, keeps us accountable and clear on our purpose.”
On a practical level, she says, it’s asking constantly, ‘What about the customer’. “It’s about how the customer will feel about what we are delivering and how we deliver it. Because service is about feel. You can’t tell someone ‘we deliver a great service’ because they will have an individual experience and they have to feel we deliver a great experience.”
That’s all well and good for those who use the service but how do you convey the feel of it to those who don’t? “That’s where advocacy via our adviser and paraplanner users, and through the ranking and commentary we receive in third party reports from the likes of the lang cat and The Platforum, comes in,” she says.
**What the new owner means**
In March 2021, Parmenion announced its new owner would be Preservation Capital Partners (PCP), a London-based private equity firm, with a track record of long-term investment into growth businesses. At time of writing the acquisition is subject to regulatory approval.
PCP have bought into Parmenion’s proposition and ethos and that is not going to change, Laura says. “What this means for the business is that we are now masters of our own destiny. We can realise our potential. So, we are focussing on the retirement market where the changing legislative environment means we will expand our capability to meet that need. We also have fantastic data warehouse capability and it’s how we use that data to help advisers and paraplanners run their businesses is where we can make a difference for them. Because of the nature of our business, we can help them look at what they have and monitor it differently, and that’s critical to support ongoing PROD requirements and business management.
“We recently launched Vantage, which is a data dashboard giving advice firms information in a visual way that is easy to access. It provides them with a range of factors, including client base, average age, amounts invested, the risk grades clients select and the investment solutions and tax wrappers they favour.
“This will help them make informed decisions about their business, in particular highlighting the risks and opportunities.
“So, what people can expect of us now is more of the same, both in our current services and where we take things next, with no fundamental change to what we do, in particular our ethos and engagement with paraplanners.”
**Professional Paraplanter Awards**
Parmenion is sponsor of the Professional Paraplanter Awards for the third year running. Laura talks more about Vantage here: https://www.parmenion.co.uk/article/introducing-vantage-data-insight-parmenion
DEALING WITH DISASTER
There are situations when business priorities and the team around you have to come before clients, says Michelle Hoskin
It is amazing what we can all achieve when we have to. As ‘they’ say... “diamonds are rocks that did well under pressure” and, given what is currently going on, I really hope that is the truth. My fear however is that, while some will thrive during these turbulent times, there will certainly be many businesses that simply were not prepared either physically or emotionally to adapt to the immediate and rapid changes which have been forced upon them.
Luckily our clients fall far away from the latter group. Why? Well, first of all, we teach them to think, behave and operate like proper businesses. They approach everything with a mindset of possibility. As a standards body and consultancy business we have in place a robust Opportunities and Risks Register, a Disaster Recovery Plan and a Business Continuity Plan which are deliberately designed to keep us one step ahead – ahead of, well, pretty much everything. Foresight is a business skill that we all need in our kit bag.
When disaster strikes
An illness, death of a business owner, an unexpected flood in the office, the resignation of a key member of your team or even a global pandemic are all terrible events but they do come loaded
The business and those who lead it!
‘Mud’ rolls down hill and if those at the top of the food chain start to lose their nerve in any event the whole thing will fall apart. Confidence and leadership have to come from the top. A strong focus and vision from those who are steering the ship through choppy waters will pay dividends in the long term. This of course assumes that those steering the ship have the skills, abilities and attributes to do so! A focus on the direction of travel and a perfectly designed plan which has been coherently communicated will kick start every business continuity and disaster recovery plan.
The question is; does your business or the one that you work for have this?
A client and friend of mine, David Braithwaite, who runs Citrus Financial in Kent, was skiing for a friend’s 50th birthday in February 2016. His first day in Austria was a perfect day for skiing. As he went to put in the first turn of the trip, then the second, he caught an edge. His right ski clipped off, but the left one didn’t. After what can only be described as his best mid-air ski performance in his life, he found himself spinning one way while his left ski stayed where it was, firmly dug into the snow. Along with his foot in the ski boot that was still attached.
The long and the short of it was David severely broke his leg/ankle, with a spiral fracture to both his tibia and fibia. After two operations he found himself bed bound for nearly nine weeks.
How did he get on? Well as you would expect being a client of mine, he had a great business, a well-structured and awesome team, well-rounded clients who were not obsessed with seeing and speaking only to him, a phone and a laptop. What more could he need?
“I had no choice but to see how good things really were with the business and team. And – they took over. They more than managed. They more than coped. They stepped up and as a result they had their best month ever in March 2016 despite me being in bed for most of it!”
So, let’s take the recent events as a little warning that we have to keep changing, we have to keep growing, keep developing, keep thinking differently, keep empowering ourselves and our fellow team members to stay alert, engaged and constantly innovating. We love to be given the opportunity to step up; to be allowed to flap our wings and test what we can do when we really have to!
Nobody achieves great things when they find themselves trapped in a matchbox like a butterfly flapping their wings, so desperate to show you how beautiful they can be.
Nothing surprises us anymore but one thing is for sure – if you want to not merely survive through turbulent times, you have to expect that absolutely anything could happen, to anyone at any time. It takes a solid business led with structure and an eye on the possibilities presented by any opportunity or risk to pull this off.
A topical conversation in the profession is how to attract young people into financial planning. Research shows that the average age of an Independent Financial Adviser (IFA) in the UK is 58. Even more worrying is the fact that one in five IFAs plan to retire from the profession in the next five years and COVID-19 appears to be fast tracking these retirement plans for many. Thus creating the inevitable void of qualified planners.
This is a topic which is often discussed in meetings with firms, institutes, members and organisations. The knock-on effect will further widen the advice gap, as fewer planners means higher demand and potentially a service that can only be provided to the wealthy. However, my concern is the need to train and establish routes for career paraplanners.
The role of the paraplanner is a critical element of good advice, taking a planning business from good to excellent. We all know this, it is well proven and indisputable. The focus on detail, the client’s journey, the technical elements, the suitability letters as well as the data held for those simple touches like birthdays, names of dogs, cats, aunts and a client’s favourite coffee is often known and managed by the paraplanner.
Traditionally a paraplanner was seen as a stepping-stone to an adviser role and so the entry point may have been as an administrator who potentially even stumbled into the profession and worked their way up the ladder.
Pippa Oldfield, CISI Paraplanner of the Year 2020 has said: “One of the main issues I’ve noticed when recruiting for paraplanners, is that many candidates see paraplanning as a stepping-stone to becoming an adviser. Career paraplanners are in short supply, and most of them seem happy where they are. So the challenge is presenting paraplanning as a fulfilling career in its own right.”
Arguably the flow is starting to go both ways, for example, Plus Group recruit ex financial advisers into their paraplanning outsource business. But outsourcing firms, like many small IFA businesses, are looking for experienced paraplanners. A further challenge for recruiting the inexperienced has been the pandemic, as paraplanning can be difficult to get up to speed and learn remotely.
**Recruiting career paraplanners**
So whilst we discuss the urgency to attract talent into financial planning and advisory roles, I believe the growth button, the hot pursuit should also be for career paraplanners. And how do young people search for a job role in
paraplanning, do they know what it is? Sam Oates, Financial Planner Life, confirmed that only 1/10 graduates he speaks to even ask about paraplanning specifically and most still see it as a stepping-stone into financial planning.
Speaking to a number of firms it appears the common ways to advertise are LinkedIn and social media but this requires a young person to know what paraplanning is and search for it directly. Not the most obvious choice of career I would think for an 18-year-old, although I am sure there are always exceptions to the rule.
LinkedIn Business Talent blog states that generation Zers “tend to look for employers who can offer stability, security, and opportunities for growth”. One recent survey of 1,000 Gen Zers found that the top career goal among this group is to work in a role where they feel stable and secure, with 40% in agreement.”
Paraplanning absolutely fits this bill.
**Mandatory qualifications?**
For me this poses the question that to attract young talent and give paraplanning the same level of recognition and respect from the outside, should professional qualifications be a regulatory requirement? Would this escalate and reassure the young graduates of the importance of the role, placing it on the same footing as a planner, adviser or accountant, thus attracting career paraplanners?
The Institute of Internal Communications specifically identify that: “To position themselves as appealing employers to Gen Z, companies will need to invest in professional growth opportunities”
Are established pathways through training programmes and graduate schemes essential to offer the security and corporate structure the young people are looking for?
Many firms like Mazars have established structured training programmes for new entrants into financial planning but few have similar programmes dedicated to paraplanning. Do we need to create and promote these independently to the advisory/planning route to attract career planners? This should be the conversation of the day, as yes some will go into planning and bring with them a wealth of expertise from being a paraplanner first, but some will become the elite paraplanners, the thought leaders, game changers of the paraplanning world. Those will be the ones who show us how to move from excellent to exceptional.
Over the past year the *Professional Paraplanner* Parameters surveys have tracked paraplanners’ concerns around the effect of the Covid-19 crisis on the markets, global economy and UK economy. The table shows how paraplanners felt at different stages of that journey:
- **April 20**: A few weeks into the crisis
- **June 20**: In anticipation of the end of the first lockdown
- **October 20**: Under restrictions
- **December 20**: In between lockdowns two (Nov 20) and three (Dec/Jan onwards)
- **April 21**: Amidst the vaccine roll-out and falling infection numbers in the UK.
The table shows three trends. In April 2020, six weeks into the first lockdown, following the rush to implement remote working, the potential for the long-term impact of the crisis had yet to take hold, reflected in the level of concern in some of the answers to our first survey.
While most paraplanners had serious concerns around the short-term impact for markets, the global economy and the UK economy, logical given the stockmarket reaction and the clear impact on businesses from the lockdowns being imposed in the UK and around the world, 65% said they had no concerns about markets long term, 57% had no concerns about the global economy long term and 54% said the same about the UK economy long term.
In the summer months and into autumn with the first lockdown over, children returning to school and some workers to the office (albeit socially distanced), and when people may have thought the worst was behind us, some concerns started to reduce.
However, by December of 2020, having been through another lockdown, experiencing restrictions which would impact the holiday period and the prospect of another lockdown from January 2021, concerns had ramped up again, notably with more people concerned about the long term effects on markets and the global and UK economies.
Another issue was also to the fore in people’s minds, namely Brexit and the possibility of No-Deal, which several paraplanners considered “very concerning” and “represents a greater risk to the UK economy than Covid”.
Our most recent survey (April 21) shows serious concerns have reduced, but the bulk of people retain ‘some concern’ across all categories except, notably, in respect of the long term impact on the markets – “We’ve been through lots of market uncertainty over the years and come out the other side.”
While some optimism was displayed in the commentary, the general consensus was that there is much yet to play out following the Covid-19 pandemic, not least, as one paraplanner put it: “There has to be a hit at some point with all the debt owed by governments.”
**SURVEY PRIZE DRAW**
Congratulations to Prize draw winner: Robert Dimbleby of HB&O who is the winner of our survey prize draw of £50 worth of Amazon vouchers. Don’t miss out on your chance to win a similar prize by completing the monthly survey. Keep an eye out for our email. And if you have any questions that you’d like us to pose to your fellow paraplanners, just fill in the section at the end of the survey form.
Investment ratios are important for anyone studying for the CII investment exams, namely Ro2 Investment Principles and Risk, Jo Discretionary investment management, and AF4 Investment planning, where they are tested often.
The most common ratios appearing in these exams are earnings per share (EPS), price earnings ratio (PE ratio) dividend yield and dividend cover; in this article we look at a working example of how to work these out. Our working example concerns a PLC called Bright Training; it has profits (available for ordinary shareholders) of £100,000. It has issued 150,000 ordinary shares. The current share price is 49p and the recent dividend paid was 12p.
**EPS**
The EPS figure is important and must be published in a company’s account enabling an investor to see the trend in a company’s profitability. It shows the amount of profit that is attributable to each issued share.
The EPS for Bright Training therefore is worked out as: profits attributable to ordinary shareholders divided by the number of ordinary shares in issue so £100,000/150,000 equals an EPS of 66p. If a company issues new shares this figure will reduce and if a company bought back its own shares this figure would increase (assuming profits remained the same).
Investors use this figure to compare growth over time and it’s also used to calculate the PE ratio which we look at next.
**PE ratio**
A company’s PE ratio can be viewed as how the market views the potential for future growth in earnings. The PE ratio for Bright Training is worked out as the share price divided by EPS which is 490/66 giving a PE ratio of 7.42. A simple way of looking at this figure is that it calculates the number of years the company would need to generate enough value to cover the cost of the share at the current market price, or another way of looking at it is that investors are prepared to pay £7.42 for every £1 of profits.
PE ratios do need to be used with some caution and should only be used to compare companies in the same sector. A share with a lower PE ratio is generally regarded as being less expensive than a share that has a higher PE ratio; however shares can be under-priced or over-priced for various reasons and so should be used as part of a bigger picture of analysis using other factors such as dividend history, business strategy and whether the share fits in with the objectives of the investor.
**Dividend yield**
Dividend yield measures the annual value of dividends as a percentage return on the current share price. Dividend yield for Bright Training is worked out as the dividend per share divided by the current share price multiplied by 100 to get a percentage. The dividend is 12p and the current share price is £4.90 so 12/490 x 100 gives a dividend yield of 2.45%. An investor can now use this information to compare a 2.45% return with the returns that could be achieved on other investments.
**Dividend cover**
Dividend cover measures how many times the dividend could be paid out of the available current earnings. This can give an investor an indication as to the margin of safety the company has in paying the dividend. On an individual share basis, the dividend cover for Bright Training is the EPS divided by the dividend per share which is 66p/12p giving dividend cover of 5.5.
Where a dividend cover ratio is more than 1, this indicates that the earnings being generated by the company are enough to pay shareholders the dividends. As a general rule of thumb a dividend cover ratio of above 2 is thought of as a healthy sign.
These ratios can be useful in helping someone decide whether to invest in a particular company but investors should remember that often the information data being used is historical so can’t necessarily be the most accurate guide for future performance.
Anyone sitting the CII investment exams should ensure they know how to calculate these most commonly tested ratios.
For more information on Brand Financial Training go to: https://brandfft.co.uk
TEST YOUR KNOWLEDGE
For Professional Paraplanner’s TDQ (Training, Development and Qualifications) pages, we have teamed up with key support providers, such as Brand Financial Training, to provide our readers with the very best in training, development and exam support. We will be providing you with valuable advice and guidance materials to help you achieve your training goals, perfect your exam techniques and test your knowledge of the financial services market. These questions relate to examinable Tax year 20/21, examinable by the CII until 31 August 2021.
1. Remuneration for financial advice is in the form of a fee and is structured as a customer agreed remuneration. This is commonly known as:
A Disclosure document
B Terms of business
C Adviser charging
D Menu of charges
2. Manuel is investing in a structured product offering a return of 110% of the FTSE 100 or full return of capital if this is higher at redemption. Manuel should be made aware that all structured products:
A Are lower risk than other products
B Offer a high level of liquidity
C Involve counterparty risk
D Have an investment term of 12 months
3. In which of the following scenarios would a child’s income be treated as if it belonged to their parent or grandparent for tax purposes?
A Steven opens a bank account in his son’s name which earns £80 interest
B Stefan, aged 12, earns £30 per week delivering newspapers
C Simon opens a building society account for his grandson which earns £110 interest
D Sarah, aged 16, receives money from her parents and invests it in a cash ISA where it earns £115 interest
4. Gordon has decided to save for his retirement using a self-invested personal pension (SIPP). His adviser should make him aware that: Tick all that apply.
A Loans to an employer cannot exceed 50% of scheme assets
B Assets such as wines and antiques could give rise to tax charges
C The SIPP could be used to buy a commercial property from a “connected person”
D Loans to an employer are permitted
5. Which of the following statements is a drawback of using the multiple of salary basis to calculate the amount of key person insurance required by a company?
A It does not take account of the key person’s age
B It can only be based on a multiple of 5
C It is only loosely related to the key person’s contribution to profits
D It only takes a short-term time factor into account
6. You feel that your client, Terry, might prefer to invest in an offshore reporting fund instead of a non-reporting fund. The reason for this is that:
A He will be able to avoid the non-reclaimable withholding tax
B It would enable him to use his CGT annual exempt amount
C He will benefit from enhanced consumer protection
D He will be able to invest in more specialist areas e.g. commodities
7. What does the price earnings ratio measure?
A The profitability of the company
B How highly investors value a company
C Expected return on a share
D The relationship between share price and book value
8. For the first time, Julian is drawing up the accounts for his buy-to-let properties having decided that it was not worth paying an accountant to do so as he feels he is quite capable of doing them himself. He should be aware that HMRC require these records to be kept for at least:
A 12 months
B 3 years
C 5 years
D 6 years
9. Which of the following is funded based on assessed need only and disregards the level of a person’s income and capital?
A Personal care
B Accommodation costs
C Continuous health care
D Domiciliary care
10. Graham sold half of his property to a home reversion provider and received fifteen percent of its total value in the form of a lump sum payment. The property is now in need of repair. How will the repair bill be paid?
A The bill will be split 50:50 between Graham and the provider
B The bill will be split 15:85 between Graham and the provider, in that order
C The home reversion provider must foot the whole bill
D Graham must pay for all of the repairs from his own funds
Your answers
1. □ 2. □ 3. □ 4. □ 5. □
6. □ 7. □ 8. □ 9. □ 10. □
Last issue’s answers
| Q | Answers | Reference material |
|---|---------|--------------------|
| 1 | A | CII R02 Study Text Chapter 10 |
| 2 | A | CII R03 Study Text Chapter 3 |
| 3 | AB | CII R04 Study Text Chapter 10 |
| 4 | D | CII R05 Study Text Chapter 7 |
| 5 | C | CII J10 Study Text Chapter 2 |
| 6 | C | CII J12 Study Text Chapter 1 |
| 7 | C | CII ER1 Study Text Chapter 6 |
| 8 | A | CII R01 Study Text Chapter 6 |
| 9 | A | CII CF8 Study Text Chapter 1 |
| 10| B | CII R07 Study Text Chapter 5 |
Answers and cross-references can be found under the Development tab on the Professional Paraplanner website. Need help with your CII exams? For resources visit https://brandft.co.uk
In this dedicated section within the magazine – and also on the Professional Paraplanner website – we provide informed comment and insight for paraplanners engaged in research into investments, in particular for those contributing to their firm’s Investment Committee decisions. Throughout 2021 we will be covering key areas from individual funds and alternatives, through market trends and commentaries, keeping you informed.
20 SME ESG
There is a shifting pendulum of ESG in smaller companies. Tzoulianna Leventi, Investment Analyst, Aberdeen Standard Investments explains
22 Thinking ahead
Premier Miton’s David Jane says the fund manager prefers to navigate to the future than predict it
24 Markets
How long can you back a value rally? Darius McDermott, managing director, FundCalibre considers whether the current outperformance of value has longer legs than may be expected.
26 What is alternative?
Modern portfolio theory shows structured products can improve the risk/reward ratio of portfolios making them more efficient, says Ian Lowes, managing director of Lowes Financial Management
28 Sector considerations
This issue we look at the Healthcare sector
Investment Committee events
We will be continuing our popular series of Investment Committee online events throughout 2021. Keep an eye on our daily email alert for details of forthcoming webinars. You can sign up to webinars from the email and from the Events page on the Professional Paraplanner website.
ESG is fast-becoming one of the better known acronyms used in business today. Investors are increasingly focusing on how companies around the world embed and implement environmental, social and governance considerations in their operations. However, companies of all sizes recognise that managing businesses sustainably is no longer simply about reputational risk. This is leading to a structural force of change that has brought with it new risks – and even more opportunities.
Smaller companies in particular are embracing these opportunities. Historically, this has predominantly focused on the E and the G. But due in part to the devastating impact of Covid-19, the S – or social factor – has come to the fore. This covers a vast array of important matters, from human rights and labour issues, through to supply chain and sustainability KPIs, data security, customer privacy and community welfare.
While it’s more difficult to measure and quantify the S, more businesses are embracing social issues, for example improving diversity and inclusion around gender, ethnicity and expertise.
Smaller companies are increasingly aligning their corporate responsibility policies with the UN Sustainable Development Goals. This has led to improvements in business practices and culture. Implementing policies that not only consider social issues, but also go some way to addressing social inequality, can set a company apart from its peers in the eyes of investors.
For example, we recently engaged with Bytes Technology Group, an IT solutions and services provider. The company is trying to promote a more diverse culture and is increasing diversity hiring. It is also running employee development activities and providing a variety of certification opportunities. In tandem, management is promoting staff health and wellbeing. Its ‘Cycle to Work’ scheme promotes an active lifestyle, improves employee health and reduces community emissions. As a result of these initiatives, the staff turnover rate has improved. Companies are also looking for more innovative ways to listen to and engage with employees to better understand their needs and concerns.
Lockdowns have also demanded a seamless implementation of health & safety conditions. Management teams have had to find new methods for monitoring processes and review working environments. In some cases, they have also had to address potential or real Covid-19 outbreaks. In our experience, companies have demonstrated resilience and successfully supported staff. Several have quickly implemented Covid-19 protocols, such as track & trace, reporting and meticulous safety frameworks.
**Local involvement**
At a local level, smaller companies, by their very nature, tend to be more plugged into the communities in which they operate compared to multi-national Blue Chips. They are usually more cognisant of the impact – positive and negative – they can have and take their responsibilities seriously.
As an example, long-standing Italian luxury brand Brunello Cucinelli seeks to achieve a ‘fair and sustainable profit while giving back.’ As a key employer in the region, the local community is at the heart of the company. It seeks to create opportunities for local young people irrespective of their qualifications. In 2013, it also set up a School of Arts and Crafts to help people learn and develop. The company pays them a monthly wage while they do so.
Beyond the immediate community, some smaller companies are finding innovative solutions to problems facing our planet. Notably, our ability to create a more sustainable future. In Holland, Corbion produces plant-based bioplastics used as an alternative to packaging for fruit and vegetables, single-use shopping bags and disposable drinking cups. Another example is the Norwegian business Borregaard, which operates the world’s largest biorefinery.
Using lignin, a binding agent found in wood, the company supplies sustainable alternatives to oil-based chemicals. Its products have a wide range of applications, including dispersing agents in concrete, textile dyes, pesticides, batteries and ceramic products.
Small- and mid-sized companies are proving that not only does their size provide them with the agility to implement change quickly, but that they can foster the kind of culture that cultivates creativity and innovation. Embracing the S in ESG is allowing smaller companies to identify improvements for all areas of their business. This is resulting in more diverse and engaged workforces, as well as more profitable organisations. It also means these businesses are well placed for the sizeable challenges facing the world.
For investors too, this increased focus on S will create opportunities as we move to a fairer, more sustainable world.
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Currency hedging is used to substantially reduce the risk of losses from unfavourable exchange rate movements on holdings in currencies that differ from the sterling currency. Hedging also has the effect of limiting the potential for currency gains to be made. The Investment Manager’s focus on securities of companies which maintain strong environmental, social and governance (“ESG”) credentials may result in a return that could, at times, perform less favourably or similar products without such focus. No representation nor warranty is made with respect to the fairness, accuracy or completeness of such credentials. The status of a security’s ESG credentials can change over time.
Investments should be made on the basis of the current prospectus, which is available along with the Key Investor Information Document and annual and semi-annual reports, free of charge on request by calling 0800 368 1732. Issued by HL Pensions Management, authorised and regulated by the Financial Conduct Authority and by Financial Administration Services Limited, authorised and regulated by the Financial Conduct Authority. Fidelity, Fidelity International, the Fidelity International logo and F symbol are trademarks of HL Limited. UKRA011/2020/3503/2021
People often think investing is about predicting the future, we don’t think so. We think it is about navigating it. The problem with predicting the future is that even if you get it right in terms of economies or company profits, it might not help you predict the future of share prices or markets.
It is often observed that knowing what might happen is much easier than knowing when to act on the knowledge. Even perfect foresight of future events, such as economic outcomes or a company’s profits, gives little to no advantage at predicting markets or company share prices. The challenge is combining the limited insight you might have into the future with an ability to know when to act and in what scale.
As an equity analyst early in my career, I came up against this all the time, where the general market opinion of a company was either greatly at odds with a rational view of reality, either too positive or too negative. Examples of where forecasts for a business’ growth suggested a company would end up having market share in excess of the available market or would earn absurd profit margins into the foreseeable future were common. Knowing that the market’s opinion was irrational unfortunately, did not often help. There is a saying ‘the market can be wrong for longer than you can stay solvent’.
**Power of stories**
There is a reason for this. Stories are a powerful driver of human behaviour; we are a social species. In the near term, the market will be driven by stories much more than by a rational assessment of the evidence. Especially where those stories have a powerful message. This is commonly the case with transformation businesses, the internet bubble being an obvious example. Where there is a strong emotional element it can be especially powerful; people want to do the right thing. Investors want to believe in a well-crafted story. The most successful chief executives are those that can persuade shareholders and staff that the company has a powerful story.
It is this feature that causes us to have momentum as an important driver of our process, the momentum in a share price, or market, reflects the investors’ opinions and can be slow to change. We do not need to listen to the stories in the market, we can simply look at the markets to see where the powerful stories are. In fact, we actively avoid seeing companies so as not to be influenced by a powerful story. Hence, we look at the fundamentals and the market price action.
Our ideal entry point is where the fundamentals are favourable, and the
market price action is also improving. For us this means the market is coming around to a point of view and therefore, there is a considerable opportunity for returns. You should never fight the tape as the old market adage goes.
Therefore, we are not just looking for good long-term opportunities, but good entry points and exit points. This is true for both our thematic ideas or our macro positions. Our macro ideas are based not around a forecast, but around a likely direction of travel for overall markets and economies. Our thematic ideas are much longer term and seek to identify those areas with a solid following wind for long periods of time. This can be often be driven by technological or demographic changes.
When entering a position, we do not do so just because of fundamentals, we don’t fight the tide, we wait patiently for clear evidence that the story is improving by looking for improving price momentum. Similarly, to exit a position, it is neither necessary or sufficient for us to think it is highly overvalued or the fundamentals have deteriorated. Our opinion of the fundamentals might well be wrong, we need to recognise that.
In our view, trends persist well beyond the point justified by fundamentals or valuations. On the journey we will typically be trimming to contain risk. However, we will only look to sell once the absolute or relative performance begins to turn down.
**Decision points**
Our approach may lead us to not be doing what purists see as ‘right’. We will hold on to positions some see as very overvalued. We may not buy when things are cheapest, simply because the market has not come round to the idea yet. From time to time, we may miss out on some of the best returns as the market shifts, but for us it is less important to be a hero than to be consistent. We think it is rather more important to be making money for clients than to be right about the fundamentals.
Our strategy is not to be better at valuing stocks or markets, predicting future events or returns, or being heroes by calling market turning points. We are focussed on navigating whatever the future holds in a rational and effective way on behalf of our clients.
*The challenge is combining the limited insight you might have into the future with an ability to know when to act and in what scale*
Having spent the past few years wondering when the bull market would ever end – only to be plunged into the worst global recession since the 1930s in the first quarter of 2020 – the life of a value investor has not been an easy one in the past decade or so. Save for the odd reversal (such as in 2016), the global value index has underperformed the global growth index by some 135 per cent over the past 10 years. The question was not whether value was out of favour – but whether as a style it had become obsolete.
The result was a smaller pool of managers staying true to the investment style. Those who did adopted the mantra “a catalyst will come and when it does, value will rally hard”. This finally came by virtue of the vaccine bounce in early November 2020 and, since then, the tables have been turned with value outperforming growth¹.
Value rallies have tended to be fast and furious in recent times – it’s been almost a case of blink and you’ll miss it. The trillion-dollar question is whether the re-opening of the global economy will add further fuel to valued-led sectors like financials, insurance, retail and utilities? By contrast, pessimists would point to there being little or no inflation in the system and a significant amount of pent up demand which could be just as beneficial to growth.
The first thing to point out is that, while we’ve seen a strong rotation into value recently, it was from historical lows, with recent returns nominal compared to the past decade of growth outperformance – so potentially there is scope for it to go a long way back to mean. However, much of the trade is predicated on inflation fears and the potential for central banks to raise interest rates – although they have repeatedly said they are unlikely to do this.
We also have to understand the drivers behind the low interest rate, low growth world – which caused the quality growth stocks to outperform – haven’t changed. Demographics remain poor in developed markets, debt levels are high and productivity is flatlining – making it difficult to justify a long-term value rally.
There are, however, some areas which are cheap for other reasons. One of these
is the UK, which has been under owned globally ever since the Brexit vote, as global investors sought to avoid the uncertainty it might create. Now this is mostly settled, it should – incrementally – bring in allocators and therefore, the UK market has the potential to make up some lost ground.
**Manager views**
Fidelity Special Values manager Alex Wright says if value was to continue to outperform, the degree of outperformance could be very substantial, given how bifurcated the market currently is. He says he is particularly confident on the medium-term outlook – not only because of the number of investment opportunities on offer, but also because they do not have to compromise on quality.
He says he typically invests in companies with lower returns on capital with a view that those would be improving on a two-to three-year view, but he can currently invest in businesses with already above-average returns on capital. The additional anomaly is Alex is tapping into companies that are actually upgrading their earnings guidance but whose valuations remain attractive.
I think it is hard to make a strong judgment on value beyond the next six months – for now I feel there is a bit more scope for outperformance given there is a strong chance the US 10-year treasury yield will continue to rise, based on inflation expectations. If you add the reopening trade into the mix for the likes of the UK and US, then we could see inflation tick up, which clearly benefits the value names. The important thing to remember is that inflation will not be particularly strong and, for that reason, we believe there is merit in having some value names without making a major rotation away from growth.
I recently listened to a presentation from Schroder Global Recovery fund manager Nick Kirrage, who pointed out that while the rotation and subsequent sharp-rally we saw in November 2020 might have been a flash in the pan – every value rally we’ve seen since 2016 has gotten larger, more significant, savage and violent. He says this makes value the insurance policy investors simply cannot go without regardless of their view on markets. It’s hard to argue against this point.
Those who are backing the value rally may want to consider the likes of the Schroder Global Recovery fund or, for a direct UK play, the ES R&M UK Recovery fund. If you’re more cautious you may prefer a more style agnostic vehicle like Fidelity Global Special Situations, which has a proven track record of delivering consistent returns in all market conditions.
---
¹ Source: FE fundinfo, total returns in sterling, MSCI ACWI Growth and MSCI ACWI Value, 30 March 2011 to 31 March 2021
² Source: FE fundinfo, total returns in sterling, MSCI ACWI Growth and MSCI ACWI Value, 9 November 2020 to 31 March 2021
Past performance is not a reliable guide to future returns. You may not get back the amount originally invested, and tax rules can change over time. Darius’s views are his own and do not constitute financial advice.
Alternative – ‘something that is different from the norm’. I fear that for many financial advisers today, this means ‘off platform’. Of course, it’s safer to stick with the crowd, the tried and tested, the safe. But independent financial advisers have a responsibility to be looking at the whole investment universe, and not be married to a platform, or pre-conceived portfolio ideas. Many alternatives are not safe. And if you’ve been entrusted with someone else’s money, you better be playing safe. So, be skeptical of alternatives – it’s safer that way. But don’t be closed minded.
Today’s improved qualification thresholds for advisers should make them more aware of the wider market and alternatives. Yet for the CII at least, the textbooks and exam syllabus are void of any real detail on alternatives. So qualified advisers ultimately learn enough to know that they don’t know and they either take time to learn and understand or stay away. The result is that many alternatives, remain just that, alternative, and pretty much out of sight of most advisers, independent and otherwise. And as such, out of sight of their clients.
But occasionally, an alternative becomes mainstream. And the market plays catch up. Structured products don’t fall into conventional asset categories and as such, used to be considered ‘alternative’. To many, they still are. Often just a complete enigma. But in my opinion, nothing manages risk and contributes to portfolio returns better, than a satellite portfolio of autocalls.
And it isn’t rocket science. Autocalls are ultimately contracts issued by banks, through a third-party issuer, with all the protections of a separate custodian and administrator. They are typically stock market linked investments that will mature, with a decent return on the second, or subsequent anniversary provided the stock market is up. How many years will you have to wait? As with any equity investment, you simply don’t know – hopefully only a few – ideally a few more as the returns compound – just make sure the maximum term is long enough to give you time.
Of course, there is risk. But like the returns, the risks are clearly defined. First, investors are lending money to the bank – if it goes bust it could take a long time to get, potentially very little back. Highly unlikely but a risk all the same. Then there’s the risk that the stock market never rises – at least not to the extent its higher on a maturity anniversary – and this happens every year, including the last. If the stock market is below the protection barrier – say a fall of more than 40% over the multi-year term, then an equivalent loss will arise. Again, highly unlikely with a mainstream stock market index and long term, but possible.
1,000 autocalls later
The world’s first autocall was offered in the UK IFA market in 2003, and since then over 1,000 FTSE 100 linked, capital at risk autocalls have matured for UK IFA clients. But despite the numbers, these are still alternative investments to many. Of these 1,000 maturities, none made a loss and only eight failed to mature with a gain. So that’s over 99% success for this “alternative investment”. As to the returns, the collective average annualised return of these matured alternatives was over 8% per annum, with the lowest positive maturity returning over 4.8% per annum. Imagine that, an alternative investment with a track record like that – more than 99% returning an average of 8% per annum!
Any investment with a record like that could demonstrably prove to lower risk and contribute well to portfolio returns. Given the numbers, it shouldn’t be necessary to prove the point, but if we look at the returns, produced by all these maturities and compare them with the returns of a FTSE 100 tracker and the Sterling Corporate Bond sector average over the same durations, testing a wide range of different, weighted portfolios of the three assets, we get the accompanying chart.
The Minimum Variance Portfolio for this data is one that represents 81% allocation to autocalls and 19% to bonds. The chart also highlights the position of the autocall portfolios that include 25% in autocalls. All portfolios to the right of the yellow line have lower than 25% allocation to autocalls. The inclusion of autocalls in the portfolios leads to the Efficient Frontier moving left, indicating lower risk for the same return.
Point ‘B’ is 55% allocated to structured products and the balance to equities. This portfolio offers significantly greater return for the same risk as a portfolio consisting of 100% bonds shown at ‘C’ which is the least efficient portfolio.
This, admittedly crude application of Modern Portfolio Theory shows that the inclusion of autocalls in a portfolio improves the risk/reward ratio of the portfolios making them more efficient. Whilst the results are somewhat extreme, the conclusion of the analysis is that portfolios are improved by the inclusion of autocalls. Which is surely what anyone would conclude from the numbers in the first instance. Of course, past performance is not a guide to the future but for that reason alone, autocalls make for an appropriate inclusion in portfolios.
So, what makes an alternative investment, alternative? Whilst I would say that if it’s outside of the regulators remit, such as wine and collectibles, then it truly is alternative and probably much safer for advisers to steer clear of. But if it’s an accessible, regulated investment that you consider to be alternative, its possibly just a case of something you know you don’t know about, yet.
Capital at risk.
Fund Calibre comment: Whether it’s the growth versus value debate or the inflation versus deflation trade – the narrative in markets at the moment dictates you have to make choices. To do this investors can increase exposure to sectors which are skewed to one side. For example, there is a clear correlation between the technology sector and growth, while financials fall into the value bucket.
This has made healthcare an increasingly attractive investment option for us recently. Not only have we seen a boom as a result of the pandemic, but the sector is relatively style agnostic, with the first table above showing healthcare’s mild correlation to other styles and sectors.
The healthcare sector has been on a consistently upward trajectory in recent years. While others talk about style until they are blue in the face, we prefer to hedge our bets. We know the short-term tailwinds, but long-term structural factors also support the sector, such as aging populations across the globe and a rising middle-class in many emerging economies.
The healthcare sector is also diverse – it did well at the start of the pandemic because people were stockpiling and buying PPE. But if you make the likes of endoscopes or tools for knee surgery it’s been challenging due to appointment cancellations courtesy of the pandemic. This is why an active manager is essential for those looking at healthcare.
Another benefit for the sector is that the biggest headwind is often regulation (typically from the US government) – but healthcare is simply not going to be targeted in this environment in the short to medium term, making it an even more attractive option.
The amount of credits will be determined by the length of time taken to read the articles within the magazine. Readers requiring Structured CPD points must read the magazine for at least 30 minutes and correctly answer the 10 questions on this page.
Under the CISI CPD Scheme all members must undertake a range of CPD activities in a year to demonstrate that they meet the requirements of the scheme. CPD activities undertaken during the year will fall under the following categories:
- Technical Knowledge
- Ethics
- Professional Standards
- Personal Development
- Practice Management
Members must satisfy themselves that the content is appropriate for their own development when allocating CPD points to their own record. The content will be reviewed on a quarterly basis by the CISI.
Complete and retain a copy of this page from the printed version of the magazine or download the pdf of the page from our digital edition and complete and retain that for CPD compliance purposes.
Professional Paraplanter is approved under the Chartered Institute for Securities & Investment’s CPD accreditation scheme for financial planning to enable paraplanners to accrue CPD points for reading the publication.
### Professional Paraplanter CPD questions for Structured CPD verification
| Question | Answer |
|-------------------------------------------------------------------------|----------------------------------------------------------------------|
| Viewpoint (p7) Name a risk for ESG investors now: | |
| Professional body (p14) Name three things Gen Z employees say they are looking for from an employer: | 1. |
| | 2. |
| | 3. |
| Dealing with disaster (p12) Name one element of a disaster recovery plan: | |
| TDQ (p17) What does the acronym EPS stand for? | |
| Professional body (p14) What is the reported average age of financial advisers in the UK? | 50 |
| | 56 |
| | 58 |
| | 59 |
| | 61 |
| TDQ (p17) If a company buys back its shares its EPS: | Decreases |
| | Increases |
| | Is not affected |
| TDQ (p17) Dividend cover gives the investor: | Insurance cover for their investment |
| | Indicates the margin of safety the dividend will be paid |
| | Guarantees the dividend will be paid |
| ESG (p20) Which element of ESG has the Covid crisis said to have brought to the fore? | |
| Markets (p24) Potential for the value rally to continue is predicated on which of the following (tick all that apply): | Increases in inflation |
| | Decreases in inflation |
| | Decreases in interest rates |
| | Increases in interest rates |
| Alternatives (p26) Of 1,000 structured product autocalls that matured from 2003 to February 2021, what percentage produced a loss for investors: | 0% |
| | 51% |
| | 143% |
| | 2564 % |
May 2021 / www.professionalparaplanner.co.uk
**BEST RATED FUNDS**
| IA | Fund Name | 3 year Cumulative Performance | FE Fundinfo Alpha Manager Rated | FE Fundinfo Crown Fund Rating |
|----|------------------------------------------------|------------------------------|---------------------------------|-------------------------------|
| | Baillie Gifford American | 187.89 | ✓ | 5 |
| | Morgan Stanley US Growth | 158.79 | ✓ | 5 |
| | Baillie Gifford Long Term Global Growth Investment | 148.43 | ✓ | 5 |
| | Morgan Stanley US Advantage | 119.72 | ✓ | 5 |
| | Baillie Gifford Global Discovery | 106.79 | ✓ | 5 |
| AIC | Fund Name | 3 year Cumulative Performance | FE Fundinfo Alpha Manager Rated | FE Fundinfo Crown Fund Rating |
|-----|------------------------------------------------|------------------------------|---------------------------------|-------------------------------|
| | Baillie Gifford Scottish Mortgage | 161.28 | ✓ | 5 |
| | Baillie Gifford Edinburgh Worldwide | 112.99 | ✓ | 5 |
| | Baillie Gifford Pacific Horizon | 112.26 | ✓ | 5 |
| | BlackRock Greater Europe | 76.87 | ✓ | 5 |
| | Baillie Gifford China Growth Trust | 54.24 | ✓ | 5 |
**BEST PERFORMING FUNDS IN TERMS OF RISK VS RETURN**
| IA | Fund Name | 3 year Cumulative Performance | FE Fundinfo Alpha Manager Rated | FE Fundinfo Crown Fund Rating |
|----|------------------------------------------------|------------------------------|---------------------------------|-------------------------------|
| | Baillie Gifford American | 187.89 | 140 | |
| | Morgan Stanley US Growth | 158.79 | 155 | |
| | Baillie Gifford Long Term Global Growth | 148.43 | 117 | |
| | Multipartner SICAV Baron Global Advantage Equity | 139.97 | 126 | |
| | Marlborough Technology | 138.36 | 114 | |
**RISKIEST SECTORS**
| IA | Sector | 3 year Cumulative Performance | FE Fundinfo Alpha Manager Rated | FE Fundinfo Crown Fund Rating |
|----|---------------------------------------------|------------------------------|---------------------------------|-------------------------------|
| | North American Smaller Companies | 65.55 | 107 | |
| | Japanese Smaller Companies | 20.5 | 95 | |
| | UK All Companies | 14.73 | 95 | |
| | UK Equity Income | 9.03 | 94 | |
| | UK Smaller Companies | 32.6 | 92 | |
**OUTFLOWS**
| Fund Name | Size ly ago (Km) | Size now (Km) | Performance Effect Size (Km) | Out (Km) |
|------------------------------------------------|------------------|---------------|-----------------------------|----------|
| Liontrust Japan Equity | 35,236.98 | 30,752.26 | 8,306.18 | -12,790.90 |
| State Street UK Scmdl Idx Eq | 7,084.42 | 164.19 | -767.60 | -6,122.62 |
| Invesco Global Targeted Returns (UK) | 9,094.51 | 5,649.99 | -276.70 | -3,168.85 |
| BNY Mellon Global Income | 5,234.63 | 3,493.34 | 173.94 | -1,915.23 |
| State Street Euro ex UK Scmdl Idx Eq | 4,526.53 | 3,514.14 | 574.41 | -1,588.80 |
**INFLOWS**
| Fund Name | Size ly ago (Km) | Size now (Km) | Performance Effect Size (Km) | In (Km) |
|------------------------------------------------|------------------|---------------|-----------------------------|---------|
| BlackRock ACS US Equity Tracker | 4,396.75 | 15,287.99 | 1,639.85 | 9,251.38 |
| BlackRock ACS UK Equity Tracker | 6,340.55 | 11,932.49 | 1,211.05 | 4,389.90 |
| BlackRock ACS Climate Trans Wld Eq | 251.07 | 2,798.11 | 43.53 | 2,503.51 |
| iShares Global Property Sec Eq Idx (UK) | 2,820.98 | 5,182.08 | 26.76 | 2,334.34 |
| BlackRock ACS World ESG Eqty Trckr | 710.49 | 3,495.53 | 539.31 | 2,245.73 |
Which are the most researched sectors, which the most viewed factsheets and which the most charted funds? FE Fundinfo provides Professional Paraplanner with data for the past month showing where financial adviser and planner firms have been conducting their research.
### BEST PERFORMING SECTORS
**IA**
- **Technology & Telecommunications**: 99
- **North America Smaller Companies**: 65.55
- **North America**: 58.15
- **Global**: 43.94
- **China/Greater China**: 41.95
**AIC**
- **Infrastructure Securities**: 123.79
- **Technology & Media**: 88.1
- **VCT Specialist: Health & Biotech**: 64.91
- **North America**: 62.86
- **Biotechnology & Healthcare**: 62.8
---
### MOST RESEARCHED
| IA | AIC |
|-------------|--------------|
| 1. Global | 1. Global |
| 2. UK All Companies | 2. VCT Generalist |
| 3. Unclassified | 3. UK Smaller Companies |
| 4. Mixed Investment 40-89% Shares | 4. UK Equity Income |
| 5. Mixed Investment 20-80% Shares | 5. Global Smaller Companies |
### MOST VIEWED FACTSHEETS
| IA | AIC |
|-----------------------------------------|------------------------------------------|
| 1. Vanguard LifeStrategy 60% Equity | 1. Baillie Gifford Scottish Mortgage |
| 2. Fundsmith Equity | 2. Baillie Gifford Monks Investment Trust |
| 3. Baillie Gifford Managed | 3. Fundsmith Smithson Investment Trust |
| 4. Vanguard LifeStrategy 40% Equity | 4. Baillie Gifford Edinburgh Worldwide |
| 5. Royal London Sustainable Diversified Trust | 5. BMO F&C Investment Trust |
### MOST CHARTED
| IA | AIC |
|-----------------------------------------|------------------------------------------|
| 1. Vanguard LifeStrategy 60% Equity | 1. Baillie Gifford Scottish Mortgage |
| 2. Vanguard LifeStrategy 40% Equity | 2. Baillie Gifford Monks Investment Trust |
| 3. Vanguard LifeStrategy 80% Equity | 3. Fundsmith Smithson Investment Trust |
| 2. Fundsmith Equity | 4. Baillie Gifford Pacific Horizon Investment Trust |
| 5. Baillie Gifford Managed | 5. BMO F&C Investment Trust |
---
### PENSION TRANSFER VALUE INDEX
XPS Transfer Watch shows that transfer values increased from £242,000 at the end of February to reach £246,000 on 31 March, recovering around one-third of the sharp fall experienced in the previous month. This increase was largely due to rising expectations of future inflation increasing the expected value of members pensions. XPS Pensions Group’s Transfer Activity Index increased slightly in March to an annual equivalent of 0.68% of eligible members, up from 0.69% in February. XPS Pensions Group’s Red Flag Index fell to 52% of transfers exhibiting a red flag of a pension scam, down from 58% in February, with one or more flags identified in just over half of all transfers processed in March. XPS Pensions Group’s Transfer Watch monitors how market developments have affected transfer values for a typical pension scheme member. It also monitors how many members are choosing to take a transfer from their DB pension scheme and, through its Red Flag Index, the incidence of scam red flags identified at the point of transfer. In March, the Financial Conduct Authority (FCA) issued its long-awaited final guidance for firms advising on pension transfers, setting out its expectations and highlighting examples of poor practice. Alongside this, the FCA has published a joint guide with the Pensions Regulator (TPR) for employers and trustees looking to support members without straying into advice. The XPS scam protection service is identifying many cases which are described as being ‘poor practice’ in the new FCA guidance.
Note: The Xfinity Transfer Value Index is based on a large pension scheme which invests a significant proportion of its assets in return-generating investments (rather than just investing its assets in Gilts). The index tracks the transfer value that would be provided by this scheme to a member aged 64 who is currently entitled to a pension of £10,000 every year starting at age 65 (increasing each year in line with inflation).
Source: XPS Group
---
©2021 FE Fundinfo. All Rights Reserved. The information, data, analyses, and opinions contained herein (1) include the proprietary information of FE Fundinfo, (2) may not be copied or redistributed, (3) do not constitute investment advice offered by FE Fundinfo, (4) are provided solely for informational purposes and therefore are not an offer to buy or sell a security, and (5) are not warranted to be correct, complete, or accurate. FE Fundinfo shall not be responsible for any trading decisions, damages, or other losses resulting from, or related to, this information, data, analyses, or opinions or their use. Performances are calculated bid to bid, with income reinvested at basic rate tax. Past performances is not a guide to future results. FE Fundinfo Crown Fund Rating: FE Fundinfo Crown Fund Ratings enable investors to distinguish between funds that are strongly outperforming their benchmark and those that are not. The top 10% of funds will be awarded five FE Fundinfo crowns; the next 10% receiving four Crowns and each of the remaining three quartiles will be given three, two and one Crown respectively.
IF THE ENVIRONMENT CHANGES, SO CAN WE
THE VALUE OF ACTIVE MINDS
Seismic changes in global markets may begin slowly but they often gather pace rapidly. It’s why we believe in diversity of thought and give our people the freedom and flexibility they need to make informed judgments, navigate threats and seize opportunities as they arise. We call this human advantage ‘the value of active minds’.
As with all investing, your capital is at risk.
jupiteram.com
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Available 11am to 5pm Monday to Friday
SANDWICH MENU
Lobster and Prawn Open Sandwich
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23.95
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21.95
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Please always inform your server of any allergies or intolerances before placing your order. Not all ingredients are listed on the menu and we cannot guarantee the total absence of allergens. Detailed information on the fourteen legal allergens is available on request, however we are unable to provide information on other allergens. Please note that all gratuities provided directly to a server are kept by the server. The restaurant deducts a 5% admin fee to cover the processing of an electronic tip.
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Populated Printable COP Without TBD Partners
2008
Lesotho
Generated 12/9/2008 9:32:22 AM
Table 1: Overview
Executive Summary
Final_all CNs.28sept07..doc
application/msword
9/28/2007
PSeithleko
File Name
Content Type
Date Uploaded Description
Uploaded By
Country Program Strategic Overview
Description:
Will you be submitting changes to your country's 5-Year Strategy this year? If so, please briefly describe the changes you will be submitting.
X Yes
No
The following gives a brief overview of changes to the country context of the PEPFAR Program in Lesotho since the submission of our FY07 mini-COP. While there are no specific changes to the Five-Year Strategy, the Lesotho team continues to hone in on the four strategic priority areas agreed upon in 2006: prevention of maternal-infant and sexual transmission of HIV; counseling and testing; integration of TB and HIV services; and systems strengthening with a focus on the human capacity crisis.
A significant event that will undoubtedly influence how PEPFAR operates in the future is the $362 million Millennium Challenge Corporation (MCC) Compact signed in July 2007, including a $122 million health component. Although largely focused on infrastructure building, the health portion of the Compact includes an $18.7 million package that will be used to address the human resource issue, the restructuring of the Ministry of Health (MOH) as a result of decentralization, and assistance with Health Management Information Systems (HMIS). The PEPFAR and MCC teams have worked closely together since the inception of the MCC grant making process, and will continue to do so.
In February 2007, national elections were held for the first time since 2002. Although the outcome was and continues to be contentious and resulted in a period of transient instability, MOH personnel have been reorganized which has led to a positive effect on PEPFAR program implementation and coordination. Communications with high-level management in the MOH is more frequent and both sides are working on improved integration of PEPFAR into the MOH's planning processes.
Coupled with the instability caused by the elections, an on-going drought promises to make the current peace somewhat precarious. In July the Prime Minister and Embassy Maseru declared a food disaster in Lesotho due to severe drought, failed harvests, and insufficient domestic food production. USAID has increased its donations to the World Food Program and extended its support to a food-for-assets consortium consisting of CARE, World Vision, and Catholic Relief Services. Partners have reported increased numbers of malnourished or starving children presenting at health facilities, but concrete documentation on the depth and scope of the food crisis is not yet available.
Acceptance of Lesotho's Round 6 Global Fund to Fight AIDS, Tuberculosis (TB) and Malaria (GFATM) proposal to strengthen community involvement in TB prevention and treatment has given a boost to the National TB Program. This program however continues to suffer from lack of qualified personnel at both central and district levels. The communications and coordination between the TB and HIV programs continue to fall short of what is needed to gain the necessary impetus to truly integrate the two programs. Partners in Health is taking the clinical lead on identification and treatment of multi-drug resistance (MDR) and extremely-drug resistant (XDR) TB, while the USG is the leading partner on implementation of a National Drug Resistance Survey. Lesotho will most likely submit a Round 8 proposal to the GFATM that focuses on MDR and XDR TB.
The most glaring gap in the national response continues to be the prevention of sexual transmission and lack of evidence that there is true national will to do so. A recently completed prevalence study among textile workers found a 43% prevalence rate among this population of predominantly young women. Although a prevention program has been launched in the apparel industry, a national prevention campaign with population-specific messages is still all but invisible. While there is widespread acknowledgement that multiple concurrent partnerships among both sexes form the deadly fuel that propels HIV transmission, there are still very few interventions that address this issue, and the entire topic remains sensitive to full and open discussion.
Ambassador Letter
Country Contacts
Contact
Contact
Global Fund
Table 2: Prevention, Care, and Treatment Targets
2.1 Targets for Reporting Period Ending September 30, 2008
Prevention
Care (1)
Treatment
End of Plan Goal
0
2.2 Targets for Reporting Period Ending September 30, 2009
Prevention
Care (1)
Treatment
End of Plan Goal
0
(1) Total Care represents number of OVC served by an OVC program during the reporting period and the number of individuals provided with facility-based, community-based and/or home-based HIV-related palliative care, including those HIV-infected individuals who received clinical prophylaxis and/or treatment for tuberculosis(TB).
Table 3.1: Funding Mechanisms and Source
Mechanism Name: Partnership for Health & Development Communications (PHDC)
System ID: 8144
Planned Funding($): $500,000
Mechanism ID: 5957.08
Mechanism Name: Call to Action project (EGPAF)
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner: Elizabeth Glaser Pediatric AIDS Foundation
New Partner: No
Funding Source: GHCS (USAID)
Procurement/Assistance Instrument: Cooperative Agreement
Agency: U.S. Agency for International Development
Agency: HHS/Centers for Disease Control & Prevention
Procurement/Assistance Instrument: Contract
Funding Source: GAP
New Partner: Yes
Prime Partner: Comforce
Planned Funding($): $200,000
Mechanism Type: HQ - Headquarters procured, country funded
Mechanism Name: Overseas Technical Support
System ID: 8195
Mechanism ID: 8195.08
System ID: 8145
Planned Funding($): $200,000
Mechanism ID: 5950.08
Mechanism Name: Technical Assistance
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner: American Society of Clinical Pathology
New Partner: No
Funding Source: GHCS (State)
Procurement/Assistance Instrument: Cooperative Agreement
Agency: HHS/Centers for Disease Control & Prevention
System ID: 8220
Planned Funding($): $450,000
Mechanism ID: 8220.08
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner: Academy for Educational Development
New Partner: Yes
Funding Source: GHCS (USAID)
Procurement/Assistance Instrument: Cooperative Agreement
Agency: U.S. Agency for International Development
Table 3.1: Funding Mechanisms and Source
Mechanism Name: Call to Action Project (EGPAF)
System ID: 8216
Planned Funding($): $1,000,000
Mechanism ID: 8216.08
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner: Elizabeth Glaser Pediatric AIDS Foundation
Funding Source: GHCS (USAID)
Procurement/Assistance Instrument: Cooperative Agreement
Agency: U.S. Agency for International Development
System ID: 8146
Planned Funding($): $1,200,000
Mechanism ID: 5956.08
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner: International Center for AIDS Care and Treatment Programs, Columbia University
New Partner: No
Funding Source: GHCS (USAID)
Procurement/Assistance Instrument: Cooperative Agreement
Agency: U.S. Agency for International Development
Funding is TO BE DETERMINED: No
Planned Funding: $25,000
Sub-Partner: Population Services International
System ID: 8147
Planned Funding($): $280,000
Mechanism ID: 5940.08
Mechanism Name: HIV/AIDS Workplace Education Program
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner: International Labor Organization
New Partner: No
Funding Source: GHCS (State)
Procurement/Assistance Instrument: Cooperative Agreement
Agency: Department of Labor
System ID: 8146
Planned Funding($): $1,200,000
Mechanism ID: 5956.08
Mechanism Name: MTCT Plus (Columbia University)
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner:
New Partner: No
Funding Source: GHCS (USAID)
Procurement/Assistance Instrument: Cooperative Agreement
Agency: U.S. Agency for International Development
System ID: 8205
Planned Funding($): $100,000
Mechanism ID: 5954.08
Mechanism Name: Nursing Capacity Building
Mechanism Type: Local - Locally procured, country funded
Prime Partner: Georgetown University
New Partner: No
Funding Source: GHCS (State)
Procurement/Assistance Instrument: Cooperative Agreement
Agency: HHS/Health Resources Services Administration
System ID: 8216
Planned Funding($): $1,000,000
Prime Partner: Elizabeth Glaser Pediatric AIDS Foundation
New Partner: No
Funding Source: GHCS (USAID)
Procurement/Assistance Instrument: Cooperative Agreement
Agency: U.S. Agency for International Development
New Partner: No
Associated Area Programs: HVAB - Abstinence/Be Faithful, HVOP - Condoms and Other Prevention, HVCT Counseling and Testing
New Partner: Yes
Associated Area Programs: OHPS - Other/Policy Analysis and Sys Strengthening
Funding is TO BE DETERMINED: No
Sub-Partner: Institute for Development Management
Planned Funding: $40,000
New Partner: Yes
Funding is TO BE DETERMINED: No
Sub-Partner: Council for Health Services Accreditation of Southern Africa
Planned Funding: $170,000
Associated Area Programs: HVSI - Strategic Information, OHPS - Other/Policy Analysis and Sys Strengthening
Planned Funding: $120,000
Sub-Partner: East, Central, and Southern African Health Community
New Partner: No
Sub-Partner: Foundation for Professional Development
Funding is TO BE DETERMINED: No
Planned Funding: $210,000
Funding is TO BE DETERMINED: No
Funding is TO BE DETERMINED: No
Planned Funding: $200,000
New Partner: No
Associated Area Programs: OHPS - Other/Policy Analysis and Sys Strengthening
Associated Area Programs: OHPS - Other/Policy Analysis and Sys Strengthening
New Partner: Yes
Sub-Partner: Management Sciences for Health
System ID: 8230
Planned Funding($): $980,000
Mechanism ID: 5965.08
Mechanism Name: Southern Africa Human Capacity Development Coalition
Mechanism Type: Local - Locally procured, country funded
Prime Partner: IntraHealth International, Inc
New Partner: No
Funding Source: GHCS (USAID)
Procurement/Assistance Instrument: Cooperative Agreement
Agency: U.S. Agency for International Development
Associated Area Programs: OHPS - Other/Policy Analysis and Sys Strengthening
Table 3.1: Funding Mechanisms and Source
Mechanism Name: Male circumcision serice providers training
System ID: 8186
Planned Funding($): $100,000
Mechanism ID: 6206.08
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner: JHPIEGO
New Partner: Yes
Funding Source: GHCS (USAID)
Procurement/Assistance Instrument: Cooperative Agreement
Agency: U.S. Agency for International Development
Planned Funding: $1,500,000
Sub-Partner: Population Services International
Funding is TO BE DETERMINED: No
System ID: 8193
Planned Funding($): $1,500,000
Mechanism ID: 8193.08
Mechanism Name: Failed IAA
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner: N/A
New Partner: No
Funding Source: GHCS (USAID)
Procurement/Assistance Instrument: Cooperative Agreement
Agency: U.S. Agency for International Development
Prime Partner: Management Sciences for Health
New Partner: No
Funding Source: GHCS (USAID)
Mechanism ID: 5964.08
Mechanism Type: HQ - Headquarters procured, country funded
Mechanism Name: Strengthening Pharmaceutical Services (SPS)
System ID: 8148
Agency: U.S. Agency for International Development
Procurement/Assistance Instrument: Cooperative Agreement
Planned Funding($): $538,378
System ID: 11810
Planned Funding($): $300,000
Mechanism ID: 11810.08
Mechanism Name: Enhancing Strategic Information
Mechanism Type: Local - Locally procured, country funded
Prime Partner: John Snow, Inc.
New Partner: No
Funding Source: GHCS (USAID)
Procurement/Assistance Instrument: Contract
Agency: U.S. Agency for International Development
System ID: 8186
Planned Funding($): $100,000
Prime Partner: JHPIEGO
New Partner: Yes
Funding Source: GHCS (USAID)
Procurement/Assistance Instrument: Cooperative Agreement
Agency: U.S. Agency for International Development
New Partner: No
Table 3.1: Funding Mechanisms and Source
Associated Area Programs: HVCT - Counseling and Testing
Mechanism Name: Phones for Health
System ID: 8202
Planned Funding($): $100,000
Mechanism ID: 8202.08
Mechanism Name: Technical Assistance
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner: N/A
New Partner: Yes
Funding Source: GAP
Procurement/Assistance Instrument: Cooperative Agreement
Agency: HHS/Centers for Disease Control & Prevention
Agency: HHS/Centers for Disease Control & Prevention
Procurement/Assistance Instrument: Cooperative Agreement
Planned Funding($): $55,000
New Partner: Yes
Prime Partner: N/A
Funding Source: GAP
System ID: 8200
Mechanism Name: TA in surveillance and surveys
Mechanism Type: HQ - Headquarters procured, country funded
Mechanism ID: 8200.08
System ID: 8197
Planned Funding($): $100,000
Mechanism ID: 8197.08
Mechanism Name: Supplies, TA, equipment
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner: N/A
New Partner: No
Funding Source: GAP
Procurement/Assistance Instrument: Cooperative Agreement
Agency: HHS/Centers for Disease Control & Prevention
System ID: 8201
Planned Funding($): $100,000
Mechanism ID: 8201.08
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner: N/A
New Partner: Yes
Funding Source: GAP
Procurement/Assistance Instrument: Cooperative Agreement
Agency: HHS/Centers for Disease Control & Prevention
Table 3.1: Funding Mechanisms and Source
Mechanism Name: IQC Tasc order SA
System ID: 8153
Planned Funding($): $0
Mechanism ID: 5966.08
Mechanism Type: Local - Locally procured, country funded
Prime Partner: N/A
Yes
Funding Source: GHCS (USAID)
Procurement/Assistance Instrument: Contract
Agency: U.S. Agency for International Development
Associated Area Programs: HVAB - Abstinence/Be Faithful, HBHC - Basic Health Care and Support
New Partner: No
Sub-Partner: Lesotho Catholic Bishops Conference
Funding is TO BE DETERMINED: No
Planned Funding: $65,000
System ID: 8149
Planned Funding($): $1,136,000
Mechanism ID: 5961.08
Mechanism Name: PACT-APS Grantee
Mechanism Type: Local - Locally procured, country funded
Prime Partner: Pact, Inc.
New Partner: No
Funding Source: GHCS (USAID)
Procurement/Assistance Instrument: Cooperative Agreement
Agency: U.S. Agency for International Development
New Partner: No
Sub-Partner: Lesotho Catholic Bishops Conference
Funding is TO BE DETERMINED: No
Planned Funding: $65,000
System ID: 8149
Planned Funding($): $1,136,000
Mechanism ID: 5961.08
Mechanism Name: PACT-APS Grantee
Mechanism Type: Local - Locally procured, country funded
Prime Partner: Pact, Inc.
New Partner: No
Funding Source: GHCS (USAID)
Procurement/Assistance Instrument: Cooperative Agreement
Agency: U.S. Agency for International Development
Prime Partner: N/A
New Partner: Yes
Funding Source: GHCS (State)
Mechanism ID: 6205.08
Mechanism Type: Local - Locally procured, country funded
Mechanism Name: MDR-TB
System ID: 8192
Agency: HHS/Centers for Disease Control & Prevention
Procurement/Assistance Instrument: Cooperative Agreement
Planned Funding($): $541,321
System ID: 8221
Planned Funding($): $0
Mechanism ID: 8221.08
Mechanism Name: Local prevention partner
Mechanism Type: Local - Locally procured, country funded
Prime Partner: N/A
New Partner: Yes
Funding Source: GHCS (USAID)
Procurement/Assistance Instrument: Cooperative Agreement
Agency: U.S. Agency for International Development
System ID: 8153
Planned Funding($): $0
Prime Partner: N/A
New Partner: Yes
Funding Source: GHCS (USAID)
Procurement/Assistance Instrument: Contract
Agency: U.S. Agency for International Development
Table 3.1: Funding Mechanisms and Source
Associated Area Programs: HVAB - Abstinence/Be Faithful
New Partner: Yes
Planned Funding: $100,000
Funding is TO BE DETERMINED: No
New Partner: No
Associated Area Programs: OHPS - Other/Policy Analysis and Sys Strengthening
Funding is TO BE DETERMINED: No
Sub-Partner: BizAIDS
Planned Funding: $50,000
Sub-Partner: Catholic Relief Services
Associated Area Programs: HVAB - Abstinence/Be Faithful
New Partner: No
Funding is TO BE DETERMINED: No
Funding is TO BE DETERMINED: No
Planned Funding: $150,000
Sub-Partner: CARE Lesotho
Planned Funding: $25,000
Funding is TO BE DETERMINED: No
Planned Funding: $65,000
Sub-Partner: Rural Self-Help Development Association
New Partner: No
Sub-Partner: Anti-Drug Abuse Association of Lesotho
Associated Area Programs: HVAB - Abstinence/Be Faithful
New Partner: No
Planned Funding: $65,000
Sub-Partner: Durham Link
Funding is TO BE DETERMINED: No
Associated Area Programs: HVAB - Abstinence/Be Faithful
New Partner: Yes
Associated Area Programs: HBHC - Basic Health Care and Support
Sub-Partner: Phelisanang Bophelang
Associated Area Programs: HBHC - Basic Health Care and Support
Planned Funding: $65,000
Funding is TO BE DETERMINED: No
New Partner: No
Table 3.1: Funding Mechanisms and Source
Mechanism Name: Infant and Young Child Nutrition
Planned Funding: $50,000
Sub-Partner: Boston University
Funding is TO BE DETERMINED: No
New Partner: No
Prime Partner: Population Services International
New Partner: No
Funding Source: GAP
Mechanism ID: 5944.08
Mechanism Type: HQ - Headquarters procured, country funded
Mechanism Name: Increasing access to HIV C&T
System ID: 8152
Agency: HHS/Centers for Disease Control & Prevention
Procurement/Assistance Instrument: Cooperative Agreement
Planned Funding($): $50,000
System ID: 8184
Planned Funding($): $1,650,000
Mechanism ID: 6207.08
Mechanism Name: Increasing access HIV C&T/Male Circumcision
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner: Population Services International
New Partner: No
Funding Source: GHCS (State)
Procurement/Assistance Instrument: Cooperative Agreement
Agency: HHS/Centers for Disease Control & Prevention
System ID: 8226
Planned Funding($): $100,000
Mechanism ID: 8226.08
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner: PATH
New Partner: No
Funding Source: GHCS (USAID)
Procurement/Assistance Instrument: Cooperative Agreement
Agency: U.S. Agency for International Development
Associated Area Programs: HVCT - Counseling and Testing
Table 3.1: Funding Mechanisms and Source
Mechanism Name: Military Bases Outreach
System ID: 8228
Planned Funding($): $450,000
Mechanism ID: 6208.08
Mechanism Name: Health Care Improvement (HCI)
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner: University Research Corporation, LLC
New Partner: No
Funding Source: GHCS (USAID)
Procurement/Assistance Instrument: Contract
Agency: U.S. Agency for International Development
System ID: 8183
Planned Funding($): $60,000
Mechanism ID: 8183.08
Mechanism Name: Support to Lesotho Blood Transfusion Service
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner: Safe Blood for Africa Foundation
New Partner: Yes
Funding Source: GAP
Procurement/Assistance Instrument: Cooperative Agreement
Agency: HHS/Centers for Disease Control & Prevention
System ID: 8357
Planned Funding($): $75,000
Mechanism ID: 8357.08
Mechanism Name: LDF survey
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner: Research Triangle Institute
New Partner: Yes
Funding Source: GHCS (State)
Procurement/Assistance Instrument: Grant
Agency: Department of Defense
System ID: 8151
Planned Funding($): $90,000
Mechanism ID: 5942.08
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner: Population Services International
New Partner: No
Funding Source: GHCS (State)
Procurement/Assistance Instrument: Grant
Agency: Department of Defense
Table 3.1: Funding Mechanisms and Source
Mechanism Name: Health Care Improvement (HCI)
System ID: 8213
Planned Funding($): $191,000
Mechanism ID: 8213.08
Mechanism Name: PEPFAR Coordinator salary and benefits
Mechanism Type: Local - Locally procured, country funded
Prime Partner: US Agency for International Development
Funding Source: GHCS (State)
Procurement/Assistance Instrument: Contract
Agency: U.S. Agency for International Development
System ID: 9313
Planned Funding($): $590,000
Mechanism ID: 9313.08
Mechanism Name: USAID HCD Advisor and Contracts PA
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner: US Agency for International Development
New Partner: No
Funding Source: GHCS (State)
Procurement/Assistance Instrument: USG Core
Agency: U.S. Agency for International Development
System ID: 8154
Planned Funding($): $0
Mechanism ID: 5967.08
Mechanism Name: Contraceptive Security Fund
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner: US Agency for International Development
New Partner: No
Funding Source: GHCS (USAID)
Procurement/Assistance Instrument: Contract
Agency: U.S. Agency for International Development
System ID: 8291
Planned Funding($): $150,000
Mechanism ID: 8291.08
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner: University Research Corporation, LLC
New Partner: No
Funding Source: GHCS (State)
Procurement/Assistance Instrument: Contract
Agency: U.S. Agency for International Development
New Partner: No
Table 3.1: Funding Mechanisms and Source
Mechanism Name: RHAP TA in prevention
System ID: 10661
Planned Funding($): $350,000
Mechanism ID: 10661.08
Mechanism Name:
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner: US Centers for Disease Control and Prevention
New Partner: No
Funding Source: GHCS (State)
Procurement/Assistance Instrument: USG Core
Agency: HHS/Centers for Disease Control & Prevention
System ID: 8232
Planned Funding($): $238,910
Mechanism ID: 8232.08
Mechanism Name: USAID Prog. Manager and Program Specialist salaries and benefits
Mechanism Type: Local - Locally procured, country funded
Prime Partner: US Agency for International Development
New Partner: No
Funding Source: GHCS (USAID)
Procurement/Assistance Instrument: Contract
Agency: U.S. Agency for International Development
System ID: 8224
Planned Funding($): $80,000
Mechanism ID: 8224.08
Mechanism Type: Local - Locally procured, country funded
Prime Partner: US Agency for International Development
New Partner: No
Funding Source: GHCS (USAID)
Procurement/Assistance Instrument: Contract
Agency: U.S. Agency for International Development
Mechanism Name: CDC Chief of Party and Technical Program Specialist salaries and benefits
System ID: 8203
Planned Funding($): $450,000
Mechanism ID: 8203.08
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner: US Centers for Disease Control and Prevention
New Partner: No
Funding Source: GAP
Procurement/Assistance Instrument: USG Core
Agency: HHS/Centers for Disease Control & Prevention
Early Funding Activities
Mechanism Name: CDC Deputy Director
HQ - Headquarters procured, country funded
System ID: 9311
Planned Funding($): $0
Mechanism ID: 9311.08
Mechanism Type:
Prime Partner: US Centers for Disease Control and Prevention
Funding Source: Central GHCS (State)
Procurement/Assistance Instrument: USG Core
Agency: HHS/Centers for Disease Control & Prevention
New Partner: No
Mechanism Name: MDR-TB TA from Atlanta
Agency: HHS/Centers for Disease Control & Prevention
Procurement/Assistance Instrument: USG Core
Funding Source: GAP
New Partner: No
Prime Partner: US Centers for Disease Control and Prevention
Planned Funding($): $20,000
Mechanism Type: HQ - Headquarters procured, country funded
System ID: 8354
Mechanism ID: 8354.08
Table 3.1: Funding Mechanisms and Source
Mechanism Name: Technical Assistance-ETR.net Electronic TB register
System ID: 8211
Planned Funding($): $118,000
Mechanism ID: 8211.08
Mechanism Name: Capital security costs, ICASS services
Mechanism Type: Local - Locally procured, country funded
Prime Partner: US Department of State
New Partner: No
Funding Source: GHCS (USAID)
Procurement/Assistance Instrument: IAA
Agency: U.S. Agency for International Development
System ID: 8157
Planned Funding($): $245,000
Mechanism ID: 8157.08
Mechanism Name: DOD PMTCT/PC/TB/supplies/training/LDF/record keeping
Mechanism Type: Local - Locally procured, country funded
Prime Partner: US Department of Defense
New Partner: No
Funding Source: GHCS (State)
Procurement/Assistance Instrument: Contract
Agency: Department of Defense
System ID: 8161
Planned Funding($): $190,000
Mechanism ID: 8161.08
Mechanism Name: DOD Prevention/Training/Local hire
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner: US Department of Defense
New Partner: No
Funding Source: GHCS (State)
Procurement/Assistance Instrument: Contract
Agency: Department of Defense
System ID: 8187
Planned Funding($): $15,000
Mechanism ID: 8187.08
Mechanism Type: Local - Locally procured, country funded
Prime Partner: US Centers for Disease Control and Prevention
New Partner: No
Funding Source: GAP
Procurement/Assistance Instrument: Contract
Agency: HHS/Centers for Disease Control & Prevention
Table 3.1: Funding Mechanisms and Source
System ID: 9314
Planned Funding($): $50,000
Mechanism ID: 9314.08
Mechanism Name: Peace Corps PEPFAR Coordinator
Mechanism Type: HQ - Headquarters procured, country funded
Prime Partner: US Peace Corps
Funding Source: GHCS (State)
Procurement/Assistance Instrument: USG Core
Agency: Peace Corps
Agency: Department of State / African Affairs
Procurement/Assistance Instrument: USG Core
Funding Source: GHCS (State)
New Partner: No
Prime Partner: US Department of State
Planned Funding($): $403,836
Mechanism Type: Local - Locally procured, country funded
Mechanism Name: ICASS services, resident bldg. ops. & local costs, driver, AA, PA salaries and benefits, small grants, Sec. travel
System ID: 8209
Mechanism ID: 8209.08
System ID: 8155
Planned Funding($): $440,043
Mechanism ID: 6085.08
Mechanism Name: ICASS Services, Residence Bldg ops. & local costs non ICASS for CDC CP, lab manager, tech program support
Mechanism Type: Local - Locally procured, country funded
Prime Partner: US Department of State
New Partner: No
Funding Source: GHCS (State)
Procurement/Assistance Instrument: USG Core
Agency: HHS/Centers for Disease Control & Prevention
System ID: 8356
Planned Funding($): $136,622
Mechanism ID: 8356.08
Mechanism Name: ICASS services for USAID Prog. Manager and Program Specialist
Mechanism Type: Local - Locally procured, country funded
Prime Partner: US Department of State
New Partner: No
Funding Source: GHCS (USAID)
Procurement/Assistance Instrument: USG Core
Agency: U.S. Agency for International Development
New Partner: No
Table 3.1: Funding Mechanisms and Source
Mechanism Name: VAST grants
Agency: Peace Corps
Procurement/Assistance Instrument: Grant
Funding Source: GHCS (State)
Prime Partner: US Peace Corps
Planned Funding($): $93,800
Mechanism Type: HQ - Headquarters procured, country funded
System ID: 8206
Mechanism ID: 8206.08
New Partner: No
Table 3.2: Sub-Partners List
Mech ID
5940.08
5965.08
5965.08
5965.08
5965.08
5965.08
5961.08
5961.08
5961.08
5961.08
5961.08
5961.08
5961.08
5961.08
5944.08
Planned
Funding
$25,000 $170,000
$120,000 $210,000 $40,000 $200,000 $25,000 $50,000 $150,000 $100,000 $65,000 $65,000 $65,000 $65,000 $50,000
Table 3.3: Program Planning Table of Contents
MTCT - PMTCT
Budget Code:
MTCT
Program Area:
Prevention of Mother-to-Child Transmission (PMTCT)
Program Area Code:
01
Total Planned Funding for Program Area:
$1,582,000
Total Planned Funding for Program Area:
$0
Estimated PEPFAR dollars spent on food
Estimation of other dollars leveraged in FY 2008 for food
Estimated PEPFAR contribution in dollars
Estimated local PPP contribution in dollars
$0 $0 $0 $0
1
Program Area Context:
The Government of Lesotho (GOL) launched its Prevention of Mother to Child Transmission (PMTCT) program in January 2003 based on a client-initiated counseling and testing approach and the provision of single-dose Nevirapine (NVP) prophylaxis to mother and child at birth. There are approximately 50,000 deliveries annually in Lesotho and in 2006, HIV prevalence among ante-natal clinic (ANC) attendees in Lesotho was reported to be 27%, with over 22,000 children in the country estimated to be living with HIV and AIDS. In December 2006, 35 of 193 functioning facilities nationwide reported PMTCT activities; by July 2007 , 64 facilities reported PMTCT activities. At the end of 2005, only 5% of pregnant women were utilizing PMTCT services but by the end of 2006, coverage had increased to 16%. Given that 90% or more of pregnant women in Lesotho seek ANC, there is an enormous opportunity to rapidly expand quality PMTCT programs and services. In early 2007, the Ministry of Health and Social Welfare (MOHSW) commissioned an inter-agency Task Team Review to assess the current status of PMTCT and Pediatric HIV/AIDS practices and to develop a scale-up plan in line with the national objective of achieving universal access by 2010.
In January 2005, the USG initiated the Lesotho Partnership for Family-Centered HIV Services (Partnership) based on the concept of using ANC clinics as the entry point for HIV prevention, diagnosis, care and treatment for the entire family. The Partnership is led by Columbia University's International Center for AIDS Care and Treatment Programs (ICAP) in collaboration with the Elizabeth Glazer Pediatric AIDS Foundation (EGPAF) and the Infant and Young Child Nutrition Project (IYCN). The objective of the program is to prevent pediatric HIV infections and to reduce HIV-related morbidity and mortality among women, children and their families. The Partnership is currently providing direct site support in five districts: Maseru, Butha Buthe, Berea, Mohales Hoek and Mafateng.
At the national level, the Partnership supports the MOHSW in strategic planning and the development of PMTCT care and treatment systems, policies and guidelines, including pediatric AIDS. In FY07, the Partnership successfully advocated for changes in PMTCT policies, including provider-initiated counseling and testing and dispensation of NVP prophylaxis to HIV-positive pregnant women at the first ANC visit.
In FY08, ICAP and EGPAF will reorganize their programs by district in an efficient response to the MOHSW request for a district approach to services. Each partner will assume responsibility for comprehensive PMTCT services in an entire district. EGPAF will take the lead in Butha Buthe and Berea and ICAP in Mohales, Hoek and Mafateng. The partners will continue to collaborate in Maseru district, with EGPAF taking the lead for PMTCT and ICAP supporting Treatment and Palliative Care.
In FY08, the USG-supported Partnership will expand services to hospitals in two additional districts, Leribe (EGPAF) and Quthing (ICAP). EGPAF will provide services in a total of four hospitals, three filter clinics and 27 health centers by the end of FY08. ICAP will support PMTCT service expansion to 10 health centers in Mafeteng District and 10 in Mohale's Hoek District and Quthing Hospital.
The partners plan to support the provision of ART within MCH clinics in keeping with the new MOHSW guidelines and based on the highly successful pilot of this approach at Queen Elizabeth II Hospital. Both partners will focus on the provision of comprehensive support to sites, including:
1. Routine counseling and testing pregnant women during ANC, labor and delivery, or post-natal care introducing the provider optout approach and a focus on HIV primary prevention; 2. Facilitating immediate provision of ARV prophylaxis for HIV-positive pregnant women; 3. Staging HIV-positive pregnant women within the maternal and child health (MCH) services, facilitating CD4 testing, STI screening and syndromic management, and timely referral for treatment for HIV+ eligible pregnant women; 4. Provision of a more complex course of ARV prophylaxis to the HIV+ pregnant women not eligible for HAART and for all exposed infants, including treatment of opportunistic infections (OIs) and TB;
5. Provision of family planning methods, immunizations and HIV prevention messages to families at the sites; 6. Improving safe obstetrical practices (at facility and in community) during labor, delivery, and immediate post-partum; 7. Providing adequate counseling and education for nutrition, infant feeding, and family planning during ANC, labor and delivery, and PNC; 8.Follow-up and care of exposed infants until final diagnosis including cotrimoxazole prophylaxis at six weeks.
The proportion of HIV-exposed infants currently receiving PCR testing at partnership sites is high (>50%) but transmission rates have also been unexpectedly high (~20%). In FY 2008 the partners will attempt to determine the reasons for this and take steps to reduce the transmission rate by focusing on optimizing linkages to ART and improving adherence. In addition, the Partnership will provide 4100 pregnant women with a complete course of antiretroviral prophylaxis in a PMTCT setting.
The Partnership will strengthen the continuum of care for HIV-positive women and their families and engage families in long-term comprehensive HIV care and treatment using PMTCT services as the point of entry for the family and community. The Partnership will target its support to four levels:
National Level Support: Both partners will continue to provide technical assistance to the MOHSW, highlighting evidence-based practices to inform policy change, participating in the PMTCT Technical Advisory Committee and other technical working groups to develop, revise and disseminate policy documents, guidelines and tools. The MOHSW will pilot test the revised ANC registry at two EGPAF sites, as part of the national registry roll-out. ICAP will work closely with the MOHSW AIDS Directorate, Family Health Division and the Planning Unit to finalize the PMTCT data collection tools for national use. Both partners will improve monitoring and evaluation systems to support the MOHSW to strengthen PMTCT programs nationally. IYCN will support the MOHSW to update its child feeding and PMTCT guidelines to reflect the new national child feeding policy.
District Level Support: The Partnership will build the capacity of providers to offer services and strengthen referral networks between health facilities at all levels within supported districts. The Partnership will support District Health Management Teams (DHMTs) to roll out PMTCT, ART and palliative services to health centers within the district.
Health Facility Level Support: The Partnership will provide comprehensive PMTCT, treatment and palliative services in supported hospitals, clinics and health centers, as described above. At all sites supported, the Partnership will have an expanded focus on improving safe obstetrical practices; providing nutrition, infant feeding and family planning counseling; and clinical assessment and referral for prophylaxis and treatment of opportunistic infections, including TB. EGPAF, in addition, will facilitate social support for HIV-infected and lactating mothers through clinic-based family support groups and expand family support groups to provide psychosocial support and promote partner involvement. IYCN will provide technical assistance to the Partnership and Mothers-to -Mothers (M2M) to improve the quality of infant feeding support at the facility and community levels.
The Makoanyane Military Hospital has been providing palliative care to the military personnel since the early 1980s. Patients are seen at their own homes through hospital initiated home based care and the health team provides holistic care and terminal care for its clients, this includes providing spiritual care and psychosocial support to clients and their families. Patients will also be seen by the Mobile Clinic at the Lesotho Defense Force (LDF) Barracks throughout the country and at communities nearby the bases and selected other community sites.
Community Level Support: In FY08 EGPAF will expand its work in communities in an effort to increase access to PMTCT services, encourage more men to seek counseling and testing, and strengthen linkages with PLWHA groups. EGPAF will also work within MOHSW guidelines to strengthen the role of community health workers in PMTCT. ICAP will strengthen the community response to PMTCT through training for community members and advocacy sessions for community leaders. The Partnership will continue to enhance family-focused programs and will strengthen linkages across all USG partners to impact the delivery system of services to the family at the community level including pediatric AIDS (see HTXS).
The USG is committed to the synergistic benefits resulting by collaborating with other organizations working in the areas of PMTCT, Treatment and Palliative Care: PEPFAR-funded partners (Quality Assurance Project/URC, M2M, CDC-Lab, Human Capacity Project, IYCN) and other stakeholders including Clinton Foundation, Baylor International Pediatric AIDS Initiative, UNICEF and WHO. Lesotho's PMTCT GFATM Fund Application was approved for strengthening infant nutrition and feeding and the establishment of a peer counseling program for women and partners.
The Partnership implementing agencies are mostly core-funded in FY08. The follow-on funding from a central level is absolutely critical to the success of this Partnership and to avert a gap in service for this premier program which is so closely tied to the MOHSW. The team will work with USAID/W and OGAC to help ensure that the necessary funding for this priority program is maintained beyond FY08.
Program Area Downstream Targets:
1.1 Number of service outlets providing the minimum package of PMTCT services according to national and international standards
1.2 Number of pregnant women who received HIV counseling and testing for PMTCT and received their test results
1.3 Number of HIV-infected pregnant women who received antiretroviral prophylaxis for PMTCT in a PMTCT setting
1.4 Number of health workers trained in the provision of PMTCT services according to national and international standards
73
23156
5943
245
Activity System ID: 18609
Activity ID: 18609.08
Activity Narrative: n/a
New/Continuing Activity: New Activity
HQ Technical Area:
Mechanism ID: 8157.08
Table 3.3.01: Activities by Funding Mechansim
Prime Partner: US Department of Defense
Budget Code: MTCT
Funding Source: GHCS (State)
Related Activity:
Continuing Activity:
Activity System ID: 18609
Activity ID: 18609.08
Planned Funds: $15,000
Activity Narrative: n/a
New/Continuing Activity: New Activity
HQ Technical Area:
Mechanism ID: 8157.08
Mechanism: DOD
PMTCT/PC/TB/supplies/trainin g/LDF/record keeping
Prime Partner: US Department of Defense
USG Agency: Department of Defense
Budget Code: MTCT
Program Area Code: 01
Funding Source: GHCS (State)
Program Area:
Prevention of Mother-to-Child Transmission (PMTCT)
Related Activity:
Continuing Activity:
Activity System ID: 18609
Activity ID: 18609.08
Planned Funds: $15,000
Activity Narrative: n/a
New/Continuing Activity: New Activity
HQ Technical Area:
Budget Code: MTCT
Program Area Code: 01
Related Activity:
Continuing Activity:
Related Activity:
Table 3.3.01: Activities by Funding Mechansim
Continuing Activity:
Funding Source: GHCS (USAID)
Program Area:
Prevention of Mother-to-Child Transmission (PMTCT)
Budget Code: MTCT
Program Area Code: 01
Prime Partner:
Elizabeth Glaser Pediatric AIDS Foundation
USG Agency:
U.S. Agency for International Development
Table 3.3.01: Activities by Funding Mechansim
Mechanism ID: 8216.08
Mechanism: Call to Action Project (EGPAF)
HQ Technical Area:
New/Continuing Activity: New Activity
Activity Narrative: n/a
Activity ID: 18689.08
Planned Funds: $667,000
Activity System ID: 18689
Mechanism ID: 5957.08
Mechanism: Call to Action project (EGPAF)
Activity ID: 11949.08
Planned Funds: $500,000
Activity System ID: 18588
Budget Code: MTCT
Program Area Code: 01
Prime Partner:
Elizabeth Glaser Pediatric AIDS Foundation
USG Agency:
U.S. Agency for International Development
Funding Source: GHCS (USAID)
Program Area:
Prevention of Mother-to-Child Transmission (PMTCT)
New/Continuing Activity: Continuing Activity
Continuing Activity: 11949
Activity Narrative: N/A
HQ Technical Area:
Related Activity:
Continuned Associated Activity Information
Mechanism ID: 5956.08
Mechanism:
MTCT Plus (Columbia University)
Prime Partner:
International Center for AIDS Care and Treatment Programs, Columbia University
USG Agency:
U.S. Agency for International Development
Table 3.3.01: Activities by Funding Mechansim
Activity ID: 12122.08
Planned Funds: $400,000
Activity System ID: 18590
Funding Source: GHCS (USAID)
Program Area:
Prevention of Mother-to-Child Transmission (PMTCT)
Budget Code: MTCT
Program Area Code: 01
New/Continuing Activity: Continuing Activity
Continuing Activity: 12122
Activity Narrative: N/A
HQ Technical Area:
Related Activity:
Continuned Associated Activity Information
Development
HVAB - Abstinence/Be Faithful
Budget Code:
HVAB
Program Area:
Abstinence and Be Faithful Programs
Program Area Code:
02
Total Planned Funding for Program Area:
$1,009,300
Total Planned Funding for Program Area:
$0
Estimated local PPP contribution in dollars
Estimated PEPFAR contribution in dollars
$0 $0
1
Program Area Context:
HVAB
The USG team has identified prevention of sexual transmission of HIV as a major program priority for FY08. Results from the 2004 Lesotho DHS indicate that 24% of adults aged 15-49 are HIV-infected, 26% of women and 19% of men. By the age of 18, 47% of young women and 52% of young men have had sex. Prevalence rises with age among both sexes, peaking at 43% among women in their late 30's and 41% among men age 30-34. In all 10 districts, women have higher infection rates than men. The cultural hurdles for promoting gender equity in sexual prevention are substantial. The 2004 DHS revealed that 48% of women and 51% of men agreed that wife-beating is justified. It is common knowledge that those who are sexually active have multiple concurrent partnerships. Eleven percent of women aged 15-49 years and 30% of men aged 15-59 years have had two or more partners in the last year (DHS, 2004). According to a WHO study reported by Halperin and Epstein (2007), rates of concurrent partnerships in Lesotho were even higher, with women's rates being reported at 39% and men's rates at 55%. Despite these high percentages, cultural norms restrict public discourse on the topic. The all-male mining industry and the predominantly female textile industry often displace workers from their home villages and thus have been identified as occupations that contribute to extra-marital relationships among these workers.
Over the past five years, the Government of Lesotho (GOL) has made access to treatment a national priority, but national prevention initiatives focusing on partner reduction lag far behind. Launched on World AIDS Day in December 2006, the 20062011 National HIV and AIDS Strategic Plan (NSP) states that "the focus of the NSP is…to enhance prevention by increasing quality of interventions through behavioral change communications strategies." The plan, however, does not include steps to operationalize the prevention component.
The GOL has prioritized other prevention efforts such as Counseling and Testing over behavior change activities. For example, in a November 2006 brief, the GOL characterized the "Know Your Status" (KYS) Campaign, a national effort to provide access to community-based counseling and testing, as "the government's primary prevention strategy." But even under KYS, explicit, targeted mass media prevention messages are absent. Programs that address abstinence and being faithful (AB) are fragmented at best and leadership at the national level is weak, with two officers from the Ministry of Health and Social Welfare (MOHSW) Behavior Change Communication (BCC) unit having left public service in recent months. The MOHSW Operational Plan for 2007/2008 includes "increase in positive behavioral change" and "increase in sexual abstinence among children under 18"as explicit outputs. Although the first draft of the national BCC strategy has been developed and is presently under review, the MOHSW reported in July 2007 that development of promotional material for sexual abstinence has been deferred until next quarter. There have been, however, some recent policy developments with positive implications for prevention programs. These include the recently passed Legal Capacity of Married Persons Bill; a condition for MCC funding, which removed married women's status as minors; a Catholic Relief Service (CRS) initiative highlighting gender equalities that provides opportunities to develop gender-specific prevention messages; and the July 2007 Statement of Commitment by Lesotho's Church Leaders on AIDS.
HIV/AIDS Prevention remains a significant gap in the Lesotho National Program. The USG is the largest donor of prevention programs, as reported in a UNAIDS document entitled "Make the money work in Lesotho: Analysis of existing and estimated commitments verses estimated costs from April 2007 to March 2011." This, in part, reflects the scarcity of prevention resources in Lesotho. The report goes on to state that "prevention programming is under-funded and that there is an $18 million gap in national allocations." The USG focus on prevention programming is just getting underway and although major priorities have been tentatively identified, the formative research required to strategically target resources has not been completed.
The USG has placed increasing strategic priority on scaling up sexual prevention programs at national, district and community levels and this will continue in FY08. Peace Corps, working with several host-country partners including the Ministry of Youth, Gender, Recreation and Sports, the Lesotho Basketball Association, and local businesses, are using sports as a medium for transferring critical life skills and HIV/AIDS prevention strategies to youth. In FY08, Peace Corps will continue its HIV/AIDS prevention education programs through sports camps and Speak ALOUD (A Look at Our Understanding of Development), a gender and youth workshop examining emerging gender and youth roles and how they relate to HIV/AIDS. Under the International Labor Organization (ILO)/U.S. Department of Labor (USDOL) project, 13 construction, textile, utility and hospitality enterprises have developed BCC strategies that include AB messages. In FY08, these programs will add three to five more enterprises in the mining and security sectors. BizAIDS will continue to work with the informal small business sector, combining AB prevention messages with training on business skills.
PACT supports community-level AB activities implemented by the Lesotho Catholic Bishops Conference (LCBC), the Anti-Drug Abuse Association of Lesotho (ADAAL), and the Rural Self-Help Development Association (RSDA). All PACT partners have received BCC technical assistance to strengthen their technical skills. ADAAL has developed a successful peer education program on HIV prevention and substance abuse for use in schools. LCBC works to mitigate the effects of HIV/AIDS in the rural Ketane region by training community leaders in BCC and providing AB-focused prevention education to community members. RSDA works in the Phamong community, training mentors to deliver HIV/AIDS prevention messages and providing referrals for voluntary testing and counseling. In FY08, PACT will support two new community-based partners. The first, Durham Link, will focus on preventing new HIV infections in Ha Mohatlane, by raising HIV awareness and improving support and services targeted to young women. The second, a consortium between CRS and World Vision, will mobilize local faith leaders and congregations to promote abstinence and faithfulness and reduce multiple concurrent partnerships. In addition, PACT will share prevention best practices with all USG prevention partners, selected GFTAM sub-sub-recipients, and other stakeholders.
In FY08 the USG will implement its prevention programs through a more cohesive plan that promotes stronger programmatic linkages among all prevention, care, treatment and support partners. Establishing stronger monitoring and evaluation systems will also be a focus in FY08. Given the dearth of prevention programs and the relative urgency of promoting strong, consistent prevention messages, the USG team plans a number of steps intended to address this challenge. The USG team recently formed a Prevention Technical Working Group (TWG) composed of representatives of all implementing partners working in prevention. The TWG serves as a program-wide forum for sharing information and best practices, discussing priorities and formulating strategies. A BCC contract will be awarded in the coming months and this will serve as the primary vehicle for developing AB prevention activities and messages and providing USG support for developing and implementing the national BCC strategy. A key focus of this contract will be messages targeted to multiple concurrent partnerships, one of the main drivers of Lesotho's epidemic. Working with the National AIDS Commission (NAC) and other stakeholders, the USG will participate as a member of the national-level prevention working group responsible for planning and implementing a nationwide BCC strategy. The BCC strategy will include the various prevention partners in the country and their role; channels such as how mass media will be used to influence social norms and address stigma and discrimination; and how certain target groups such as adult men will be reached. All prevention messages, including correct and consistent use of condoms and male circumcision will be integrated across the USG program (see HVOP).
To lay the groundwork for strong, targeted prevention messages, the USG and UNAIDS are presently launching a jointly-financed study of multiple concurrent partnerships. One objective of this research is to articulate the "B" message in a way that is locally driven and locally owned. This research is intended to address the criticism raised in a November 2006 GOL document that "external experts, most of whom have little understanding of the cultural and local contexts, develop most of the IEC materials in use in the country, raising questions about the uptake of these messages." In addition, a HIV Prevention advisor will be recruited as a member of the USG team. This expert will work closely with the MOHSW, the NAC, the Ministry of Education, the Ministry of Gender, Youth, Sports and Recreation, USG partners and other stakeholders on a sexual prevention strategy focusing on AB.
Products: Consistent and targeted AB prevention messages across all USG implementing partners, targeted messages developed to address multiple concurrent partnerships, national implementation plan for prevention and sexual prevention messages incorporated into PMTCT, KYS and other USG-supported programs.
Program Area Downstream Targets:
2.1 Number of individuals reached through community outreach that promotes HIV/AIDS prevention through abstinence and/or being faithful
*** 2.1.A Number of individuals reached through community outreach that promotes HIV/AIDS prevention through abstinence (a subset of total reached with AB)
2.2 Number of individuals trained to promote HIV/AIDS prevention programs through abstinence and/or being faithful
54080
25760
1094
Custom Targets:
Mechanism ID: 5940.08
Mechanism: HIV/AIDS Workplace
Education Program
Prime Partner:
International Labor Organization
USG Agency: Department of Labor
Table 3.3.02: Activities by Funding Mechansim
Funding Source: GHCS (State)
Program Area:
Abstinence and Be Faithful Programs
Budget Code: HVAB
Program Area Code: Planned Funds:
02
Activity ID: 12067.08
$75,000
New/Continuing Activity: Continuing Activity
Continuing Activity: 12067
HQ Technical Area:
Activity System ID: 18592
Activity Narrative: n/a
Related Activity:
Continuned Associated Activity Information
Mechanism ID: 5961.08
Mechanism: PACT-APS Grantee
Prime Partner: Pact, Inc.
USG Agency:
U.S. Agency for International Development Abstinence and Be Faithful Programs
Table 3.3.02: Activities by Funding Mechansim
Funding Source: GHCS (USAID)
Program Area:
Activity Narrative: n/a
HQ Technical Area:
Activity System ID: 18696
Budget Code: HVAB
Program Area Code: 02
Activity ID: 18696.08
Planned Funds: $287,500
Related Activity:
New/Continuing Activity: New Activity
Continuing Activity:
Budget Code: HVAB
Program Area Code: 02
Activity ID: 18699.08
Planned Funds: $450,000
Funding Source: GHCS (USAID)
Program Area:
Abstinence and Be Faithful Programs
Mechanism ID: 8220.08
Mechanism:
Partnership for Health & Development Communications (PHDC)
Prime Partner:
Academy for Educational Development
USG Agency:
U.S. Agency for International Development
Activity System ID: 18699
Table 3.3.02: Activities by Funding Mechansim
New/Continuing Activity: New Activity
Continuing Activity:
Activity Narrative: Received $200,000 additional funding from a TBD mechanism.
HQ Technical Area:
Related Activity:
Table 3.3.02: Activities by Funding Mechansim
Funding Source: GHCS (State)
Program Area:
Abstinence and Be Faithful Programs
Budget Code: HVAB
Program Area Code: 02
Mechanism ID: 8206.08
Mechanism: VAST grants
Prime Partner: US Peace Corps
USG Agency: Peace Corps
Activity Narrative: n/a
HQ Technical Area:
Activity ID: 18679.08
Planned Funds: $56,800
Activity System ID: 18679
New/Continuing Activity: New Activity
Continuing Activity:
Related Activity:
Table 3.3.02: Activities by Funding Mechansim
Activity ID: 18732.08
Activity System ID: 18732
Funding Source: GHCS (USAID)
Budget Code: HVAB
Activity Narrative: n/a
Continuing Activity:
Related Activity:
HQ Technical Area:
New/Continuing Activity: New Activity
Mechanism ID: 8224.08
Prime Partner:
US Agency for International Development
Planned Funds: $80,000
Program Area:
Abstinence and Be Faithful Programs
Program Area Code: 02
Mechanism: RHAP TA in prevention
USG Agency:
U.S. Agency for International Development
Table 3.3.02: Activities by Funding Mechansim
Activity ID: 19091.08
Planned Funds: $60,000
Budget Code: HVAB
Program Area Code: 02
Activity System ID: 19091
HQ Technical Area:
Activity Narrative: n/a
Mechanism ID: 8232.08
Mechanism:
USAID Prog. Manager and Program Specialist salaries and benefits
Funding Source: GHCS (USAID)
Program Area:
Abstinence and Be Faithful Programs
Prime Partner:
US Agency for International Development
USG Agency:
U.S. Agency for International Development
Continuing Activity:
New/Continuing Activity: New Activity
Related Activity:
HMBL - Blood Safety
Budget Code:
HMBL
Program Area:
Medical Transmission/Blood Safety
Program Area Code:
03
Total Planned Funding for Program Area:
$60,000
Total Planned Funding for Program Area:
Estimated PEPFAR contribution in dollars
Estimated local PPP contribution in dollars
Program Area Context:
$0
$0 $0
1
The Lesotho National Blood Transfusion Service (LNBTS) currently operates within the National Laboratory Services management. This is expected to change in the future with the LNBTS operating with a separate budget from the laboratory. HIV/AIDS has increased the workload of LNBTS through the growing need for blood transfusions for HIV-related anemia and anemia induced by Anti Retroviral Therapy (ART). The LNBTS currently collects around 3,000 usable units per year. The head of the LNBTS estimates that a minimum of 5,000 usable units per annum are required to meet the current demand. A more realistic figure may be 9,000 units of blood to meet clinical demand. Blood is usually collected by a single mobile blood collection team that consists of 2 donor attendants, 1 registered nurse, 1 office assistant and 1 driver. This single team covers the entire country and can be away from Maseru for extended period of up to two weeks. During these extended collection blood drives, blood is transported back to the LNBTS by government and hospital transport systems. Collection is usually planned on a short term basis and is largely reactive. Chronic shortages become acute during school holidays as donors are predominantly schoolchildren. The minimum age for donation in Lesotho is 18 years. Individual counseling of donors prior to donation is not performed. The ineligibility of school pupils under the age of 18 to donate blood puts a strain on the LNBTS since the youth represent the safest source of blood donors and are readily accessible to donor recruitment teams. Many youth leave school before the age of 18 and are largely inaccessible to the donor team. To address this need a blood donor recruiter, supported by Safe Blood For Africa, was been added to the staff. The new donor recruiter is helping with four priority areas. This includes donor recruitment, donor retention, blood collection, and blood transportation. Donor recruitment, donor retention and blood collection are the central bottlenecks to the expansion of blood collection activities. Transportation of blood and blood products is cross-cutting, and fundamental to the entire system.
The Safe Blood for Africa Foundation provides highly specialized training and support specifically to develop blood safety in the areas of blood donor recruitment, quality systems and rational blood usage. The Safe Blood for Africa Foundation is providing direct technical assistance to the Lesotho National Blood Transfusion Service by independently funding the employment of a dedicated blood donor recruiter to increase the number of voluntary (safe) blood donors in Lesotho.
The Safe Blood for Africa Foundation proposes to conduct a number of training courses during FY 08. Activities in Lesotho are limited within the terms of the funding to providing training in blood safety. The proposed program for FY 08 provides for training courses to administrative, donor, technical, clinical and hospital blood bank staff.
The Safe Blood for Africa Foundation will carry out activities in four major areas during FY08. These areas of activity are:
1.Training and ongoing support in developing a voluntary blood donor program.
i.This encompasses the design, planning, development and introduction of an effective voluntary blood donor program, encompassing Club 25 activities, monitoring, review and development of blood donor staff with special attention to recruitment and phlebotomy aspects. Monitoring and evaluation of systems that are introduced is an essential aspect coupled with measurement of effectiveness and meaningful report writing.
ii.Training of Lesotho Red Cross Society personnel in motivation, education and recruitment of voluntary non-remunerated blood donors as per the "Proposal for the Active Participation of the Red Cross Youth in Blood Donor Recruitment in Lesotho" document (attached)
iii.Training of Lesotho Donor Recruitment staff in effective donor recruitment and retention skills and techniques 2.Training of administrative and blood donor staff in quality systems
i.Quality systems are often seen as a laboratory requirement, however the need for quality extends to all aspects of a BTS operation. The quality training to be provided is in accordance with WHO recommendations
3.Limited training of clinical and nursing staff in rational blood use
4.Training of technical and laboratory staff in quality systems
i.Quality systems in laboratory environments are required to be specific and include SOP development and report writing in accordance with WHO recommendations, these courses are extended to include hospital blood bank staff
Ongoing updates of technical and laboratory staff in developing techniques and their application, these courses are extended to include hospital blood bank staff
PEPFAR funds will continue to be leveraged to help support the Millennium Challenge Corporation (MCC) to build a new blood transfusion Centers in the country. MCC has made available over $120 million dollars to the Government of Lesotho to improve infrastructure in the health sector with a significant portion going to the blood transfusion service.
Products: Club 25 organizations established; training curriculum for donor recruitment and clinical uses of blood products developed; SOPs for blood transfusion service.
Program Area Downstream Targets:
3.2 Number of individuals trained in blood safety
145
3.1 Number of service outlets carrying out blood safety activities
18
Custom Targets:
Budget Code: HMBL
Program Area Code: 03
Table 3.3.03: Activities by Funding Mechansim
Mechanism ID: 8183.08
Mechanism:
Support to Lesotho Blood Transfusion Service
Funding Source: GAP
Program Area:
Medical Transmission/Blood Safety
Prime Partner:
Safe Blood for Africa Foundation
USG Agency:
HHS/Centers for Disease Control & Prevention
New/Continuing Activity: New Activity
Continuing Activity:
Related Activity:
HQ Technical Area:
Activity ID: 18639.08
Planned Funds: $60,000
Activity System ID: 18639
Activity Narrative: n/a
HVOP - Condoms and Other Prevention
Budget Code:
HVOP
Program Area:
Condoms and Other Prevention Activities
Program Area Code:
05
Total Planned Funding for Program Area:
$540,000
Total Planned Funding for Program Area:
$0
Amount of total Other Prevention funding which is used to work with IDUs
Estimated PEPFAR contribution in dollars
Estimated local PPP contribution in dollars
Program Area Context:
$0 $0
1
Lesotho's population as reflected in the 2004 Demographic Health Survey (DHS) population pyramid is predominantly young; 41% of the total population is less than 15 years old, and 43% are 15-49. Although knowledge of AIDS is almost universal (94% of women and 93% of men knew of AIDS), only 18% of young men and 26% of young women knew how to prevent sexual transmission of HIV. Women are increasingly and disproportionately bearing the burden of infection; although less than 10% are infected at age 18-19, almost 40% are infected by the time they reach 24 years. Multiple concurrent partnerships are embedded in the Basotho culture and wife beating is considered acceptable by fully half of all men and women. In the context of Lesotho's generalized epidemic where most of the adult population is at risk and young women are particularly vulnerable, other population sub-groups identified in the National HIV and AIDS Strategic Plan (December 2006) as being at increased risk are truck drivers, sex workers, miners and prisoners. Given the dearth of prevention programs for the general population, programs specifically targeting these populations are practically non-existent. The Lesotho Planned Parenthood Association has a prevention program in Lesotho prisons that includes condom distribution, and in FY06 the U.S. Department of Defense (DOD) launched a prevention program within the Lesotho Defense Force (LDF).
Condom use is still low and condom availability is inconsistent. A 2007 Global Fund assessment indicated a major shortfall in total numbers of condoms available in Lesotho. A more recent assessment conducted in several districts by the Government of Lesotho (GOL) in collaboration with the United Nations Fund for Population Activities (UNFPA) indicated that major logistics supply problems exist, with stock-outs in some facilities and tremendous over-stocks in others.
According to the DHS, among those reporting having engaged in high-risk sex over the prior year, only 42% of women and 46% of men reported using a condom during their most recent sexual encounter. The main sources of condoms in Lesotho are Population Services International (PSI) and the Global Fund. PSI Lesotho is implementing a comprehensive condom distribution program with operational funds from the Dutch government. A large portion of the condoms (Trust and Blue and Gold) were donated by the USG in 2007. PSI plans to distribute 3,217,405 condoms in FY07 and 3,539,145 in FY08, which includes branded and workplace condoms. PSI also assists the Ministry of Health and Social Welfare (MOHSW) in the distribution of free-issue male and female condoms. Additionally, one million male and 48,000 female free-issue government condoms will be distributed in FY07. The Department of Labor (DOL) and DOD programs will also receive other prevention funds to encourage a more comprehensive ABC approach under these programs. The USG program will also access free condoms through continued use of USAID's Contraceptive Security Fund.
In light of the scale-up of treatment services funded by Lesotho's Global Fund (GF) grants and other donors, the USG team has identified all areas of prevention as a national gap and programmatic priority, and will leverage its funds with those of the GF and other donors to focus on expanding targeted prevention messages and services. This decision is supported by a UNAIDS assessment which states that HIV/AIDS Prevention remains a significant gap in the Lesotho National Program and is underfunded. The UNAIDS assessment reports that the USG is the largest donor of prevention programs.
Although USG prevention efforts in FY08 will focus on PMTCT and sexual prevention via advocacy of delayed sexual activity in young people and reducing concurrent sexual partnerships among adults, the USG Lesotho team will continue to access the condoms available through USAID population funds, and PSI will continue to promote and distribute these condoms through its social marketing program. PSI will continue to train LDF peer educators in the correct and consistent use of condoms, ensuring that LDF clinics have a regular supply of condoms and IEC materials. DOD will provide and promote camouflage wrapped condoms within the LDF to increase correct and consistent use. Similarly, the DOL-funded, International Labor Organization (ILO) -implemented workplace program will continue to provide prevention education and condoms in its current 13 private enterprise settings and expand these services in up to an additional five workplace settings.
In FY2008 the USG/PEFPAR Lesotho program will allocate $651,852 to AB prevention and $165,000 to Other Prevention. All prevention messages, including correct and consistent use of condoms, will be integrated into USG and other prevention programs that have AB as their primary focus (see HVAB) and into an over-arching prevention strategy that will be developed with the GOL. In FY08, the USG will also continue to support the Know Your Status Campaign (see HVCT), the integration of TB and HIV services (see HVTB), the training of community health workers (see HBHC), a workplace prevention program and technical assistance to selected community-based groups (see HVAB), and programs and services to prevent maternal-infant transmission (see MTCT). All of these programs and settings will be used as platforms for delivering consistent and targeted prevention messages, including condom use to protect individuals and others. Strengthening USG partners' monitoring and evaluation systems will also be a priority in FY08. Finally, the HIV/AIDS supply chain management system assessment and follow-on support planned during the coming year will improve supply chain efficiency and the availability of condoms at all distribution points nationwide.
In 2006 and 2007, with support from USAID/RHAP, the Futures Constella Group conducted and reported a study to assess the cost and feasibility of male circumcision (MC) as an HIV prevention strategy in Lesotho. The clear consensus, including that of GOL representatives, is that MC may be a reasonable strategy to prevent HIV transmission. The USG team has several mechanisms in place for supporting follow-on activities in this area. Priority activities under consideration include qualitative research with traditional healers, policy support to the MOHSW, and the development of Behavioral Change Communication (BCC) messages promoting MC awareness and demand.
Products
Integration of AB&C messages as appropriate in USG-supported prevention efforts; Condoms distributed; Curricula to train selected communities, peer educators, soldiers and members of the workforce in appropriate condom use, in addition to other prevention strategies.
Program Area Downstream Targets:
5.1 Number of targeted condom service outlets
1771
5.2 Number of individuals reached through community outreach that promotes HIV/AIDS prevention through other behavior change beyond abstinence and/or being faithful
5.3 Number of individuals trained to promote HIV/AIDS prevention through other behavior change beyond abstinence and/or being faithful
Custom Targets:
Number of men reached with MC prevention messages
65000
Number of condoms distributed
1274092
Table 3.3.05: Activities by Funding Mechansim
Related Activity:
New/Continuing Activity: New Activity
Continuing Activity:
HQ Technical Area:
Mechanism ID: 6207.08
Mechanism:
Increasing access HIV C&T/Male Circumcision
Prime Partner:
Population Services International
USG Agency:
HHS/Centers for Disease Control & Prevention
Funding Source: GHCS (State)
Program Area:
Condoms and Other Prevention Activities
Activity System ID: 18644
Activity Narrative: n/a
Budget Code: HVOP
Program Area Code: 05
Activity ID: 18644.08
Planned Funds: $150,000
Table 3.3.05: Activities by Funding Mechansim
Related Activity:
New/Continuing Activity: New Activity
Continuing Activity:
HQ Technical Area:
Mechanism ID: 6206.08
Mechanism:
Male circumcision serice providers training
Prime Partner: JHPIEGO
USG Agency:
U.S. Agency for International Development
Funding Source: GHCS (USAID)
Program Area:
Condoms and Other Prevention Activities
Activity System ID: 18651
Activity Narrative: n/a
Budget Code: HVOP
Program Area Code: 05
Activity ID: 18651.08
Planned Funds: $100,000
36928
233
Table 3.3.05: Activities by Funding Mechansim
New/Continuing Activity: New Activity
HQ Technical Area:
Activity Narrative: n/a
Continuing Activity:
Related Activity:
Prime Partner:
US Agency for International Development
USG Agency:
U.S. Agency for International Development
Mechanism ID: 8232.08
Mechanism:
USAID Prog. Manager and Program Specialist salaries and benefits
Funding Source: GHCS (USAID)
Program Area:
Condoms and Other Prevention Activities
Activity System ID: 19090
Activity ID: 19090.08
Planned Funds: $60,000
Budget Code: HVOP
Program Area Code: 05
Table 3.3.05: Activities by Funding Mechansim
Funding Source: GHCS (USAID)
Program Area:
Condoms and Other Prevention Activities
Prime Partner:
US Agency for International Development
USG Agency:
U.S. Agency for International Development
Mechanism ID: 5967.08
Mechanism: Contraceptive Security Fund
Related Activity:
Continuing Activity:
Budget Code: HVOP
Program Area Code: 05
Activity ID: 12069.08
Planned Funds: $0
New/Continuing Activity: New Activity
New/Continuing Activity: New Activity
HQ Technical Area:
Activity Narrative: n/a
Continuing Activity:
Related Activity:
Funding Source: GHCS (USAID)
Program Area:
Condoms and Other Prevention Activities
Activity System ID: 19090
Activity ID: 19090.08
Planned Funds: $60,000
Budget Code: HVOP
Program Area Code: 05
Budget Code: HVOP
Program Area Code: 05
Funding Source: GHCS (State)
Program Area:
Condoms and Other Prevention Activities
Prime Partner: US Department of Defense
USG Agency: Department of Defense
Activity ID: 18613.08
Planned Funds: $80,000
HQ Technical Area:
Activity Narrative: n/a
Activity System ID: 18613
Mechanism ID: 8161.08
Mechanism: DOD Prevention/Training/Local
hire
Table 3.3.05: Activities by Funding Mechansim
HQ Technical Area:
Activity Narrative: n/a
Activity System ID: 18607
Related Activity:
Continuing Activity: 12069
New/Continuing Activity: Continuing Activity
Continuned Associated Activity Information
Table 3.3.05: Activities by Funding Mechansim
HQ Technical Area:
Activity Narrative: n/a
Activity System ID: 18611
Related Activity:
Continuing Activity:
New/Continuing Activity: New Activity
Activity ID: 18611.08
Mechanism ID: 5942.08
Budget Code: HVOP
Funding Source: GHCS (State)
Prime Partner:
Population Services International
Planned Funds: $70,000
Mechanism: Military Bases Outreach
Program Area Code: 05
Program Area: Condoms and Other
Prevention Activities
USG Agency: Department of Defense
Prime Partner:
International Labor Organization
USG Agency: Department of Labor
Mechanism ID: 5940.08
Mechanism: HIV/AIDS Workplace
Education Program
Table 3.3.05: Activities by Funding Mechansim
Activity ID: 12068.08
Planned Funds: $80,000
Budget Code: HVOP
Program Area Code: 05
Funding Source: GHCS (State)
Program Area:
Condoms and Other Prevention Activities
New/Continuing Activity: Continuing Activity
Continuing Activity: 12068
Related Activity:
Activity System ID: 18593
Activity Narrative: N/A
HQ Technical Area:
Continuned Associated Activity Information
Budget Code:
HBHC
Program Area:
Palliative Care: Basic Health Care and Support
HBHC - Basic Health Care and Support
Program Area Code:
06
Total Planned Funding for Program Area:
$989,000
Total Planned Funding for Program Area:
$0
1
Program Area Context:
Background
The tradition of care-giving among Basotho communities provides a strong foundation for the implementation and scale-up of palliative care. The community and home-based care system comprises a village network of 6,000 village health workers including support group members, home-based carers and community health workers (CHWs) under both the Ministry of Health and Social Welfare (MOHSW) HIV/AIDS Directorate and Family Health Division (FHD) and 3,000 community providers under Christian Health Association of Lesotho (CHAL). Many of these workers are retired women aged 60 or older and their job portfolio includes everything from water safety to drug adherence. There are also many other partners who are training either 'home-based carers', 'village health workers', or 'lay counselors' independently of the Government of Lesotho (GOL) volunteers. The result is a national mosaic of community-based workers with no standardization in remuneration or job descriptions and wide variance in training and capacity rather than an organized national program.
Summary
USG/Lesotho supports a holistic, family-centered approach to HIV/AIDS care which begins from HIV diagnosis, throughout the course of chronic illness and to end-of-life care services. USG/Lesotho will continue to support community and home-based care service delivery, capacity building support for the GOL CHW program and will focus on building programmatic and technical capacity of community partners, all of which have geographical overlap with ART, TB and PMTCT sites. Although the GFATM grants support aspects of OI management, palliative care is not explicitly documented. The USG will work with donors to support the delivery of basic preventive care commodities and medications, adequate supply chain management and behavior change communication (BCC) strategies to promote positive living and use of preventive care strategies.
The USG will seek opportunities with other donors and the GFATM grants to explore creative transportation strategies to improve access to health facilities in rural mountainous areas, and to provide TA to enhance management and oversight of community
care activities by District Health Management Teams (DHMTs). Food insecurity and malnutrition persist among PLWHA in Lesotho. Building on FY07 Infant and Young Child Nutrition (IYCN) Programs, the USG will support work in nutrition in FY08 (see MTCT) and will continue providing communities around PMTCT sites and the GOL with needed TA and training in implementing recent feeding guidelines. Peace Corps will continue to build the capacity of communities to deliver care services for PLWHA and their families, and work with government and NGOs to establish community gardens, demonstrating permaculture techniques, and providing nutrition education. The USG will continue to provide support to implement sub-district CHW training, monitoring and evaluation, coordination, increased PLWHA leadership, and CHW remuneration and supervision systems as part of overall quality assurance for the national program. Quality of palliative care services will also be addressed through development of minimum care standards and addressing shortages in kit provision and replenishment.
FY 08 Activities
Per the MOHSW request, the USG will continue support to the CHW Program through the Human Capacity Development (HCD) Coalition. The HCD coalition will provide TA to the MOHSW and work in collaboration with other NGOs and Pact sub-grantees to develop a standardized supervisory system for community health workers. This will include the revision of job descriptions for supervisors, development of supervisory checklists and procedures and training of supervisors. The USG is providing program support to a study being implemented with the MOHSW to determine the feasibility of developing the capacity of men as HIV/AIDS community-based caregivers. Key findings from the study will inform activities to mainstream gender in our TA to community-based HIV/AIDS service supervision and referral systems. The African Palliative Care Association (APCA), with FY07 funding, will continue support to scale-up and strengthen capacity of palliative care services. APCA will assist in the development of guidelines that establish minimum standards for the provision of palliative care services to PLWHA's and their families in facility -based and home-based care settings.
Through Pact, Phelisanang Bophelang (PB) will provide palliative care services to people living with HIV/AIDS through a support center in the Leribe District. Services will include psychosocial and spiritual support, nutritional counseling and referral networks. In addition to the center, service will be offered through a partnership with the Motebang Hospital. PB will also develop a network of PLWHA support groups and strengthen their capacity to provide care and support services to their members. Lesotho Catholic Bishops' Conference (LCBC) will train volunteer caregivers on community and home- based care which includes basic nursing care, nutritional counseling, psychosocial and spiritual support, and utilizing referral networks. With FY08 funding, LCBC will continue to implement a community outreach program providing home-based care and access to additional health services through referrals for PLWHA. LCBC will continue to receive extensive assistance from Pact in the design, development and implementation of systems and processes that will enhance organizational sustainability. CARE Lesotho will strengthen the ability and capacity of families and communities to provide integrated care and support for HIV/AIDS affected households. In FY08, CARE will expand its provision of financial, technical and organizational capacity support from six to eight local implementing partners in the Maseru and Leribe districts. The goal is to facilitate the implementation of a comprehensive community home based care model that responds to the needs of the household unit. CARE will facilitate and establish voluntary savings and loan (VS&L) groups for caregivers in order to strengthen economic coping mechanisms and social safety nets in affected and vulnerable households. All PACT-funded local organizations will continue to receive extensive assistance from Pact in the design, development and implementation of systems and processes that will enhance organizational sustainability. In addition, human capacity will be developed and strengthened through on-site mentoring and training as well as attendance in a series of palliative care workshops conducted via Pact partner organizations.
The PMTCT Partnership's implementing organizations, ICAP and EGPAF will continue to support the MOHSW to strengthen palliative care activities within the context of the National Care and Treatment Technical Working Group. In collaboration with University Research Center (URC) and other partners, ICAP and EGPAF will work closely with the MOHSW to develop, review and adapt HIV Care policies, guidelines, training curriculum and caregivers handbooks. They will also work to strengthen community mobilization initiatives with emphasis on Palliative Care and male involvement in care initiatives; strengthen HIV/TB linkages and referral network systems and support the production of IEC materials. The Partnership will also roll out standard preHAART/palliative care services to all Partnership-supported sites. These services will include the following components: integration of care and treatment for women and families within the mother and child health unit; routine laboratory testing and monitoring; routine TB screening; OI prophylaxis, OI management and asymptomatic patient care; counseling and psychosocial support, especially on adherence; referrals to community resources and support groups including HBC workers; partner and household member testing with Population Services International (PSI); counseling to prevent HIV transmission to others; nutrition education and micronutrient supplementation; peer education and counseling services by PLWHAs support groups at the sites in collaboration with M2M and Clinton Foundation; support for patients' access to community and home-based care services and assistance; identification of HIV-exposed and infected children in all MCH units through PMTCT follow-up, growth monitoring, symptom recognition, and testing with DNA-PCR or rapid tests as appropriate; support groups for women and their families in communities; and strengthening linkages through existing activities with World Vision and other partners for income generating activities and nutritional support.
In support of the GOL, URC will assist in scaling up key elements of basic preventive care including OI prophylaxis, screening and referral for TB services, promotion of good hygiene, sound nutritional practices, and integrated ABC prevention messaging (see HVAB and HPOV). APCA, with GOL counterparts, will review strategies supporting the medicinal use of oral opioids for PLWHA and develop a plan of action to address pain and symptom management at community level. A basic preventive care package for HIV-exposed or infected children, including support for improved infant feeding and other essential child survival interventions, will be supported within the USG PMTCT and palliative care programs. Providing a continuum of care services for PLWHA is a priority of PEPFAR/Lesotho, however, due to strategic funding priorities for PEPFAR/Lesotho the amount of program elements provided is limited.
Program Area Downstream Targets:
6.4 Total number of service outlets providing HIV-related palliative care (excluding TB/HIV)
64
6.5 Total number of individuals provided with HIV-related palliative care (excluding TB/HIV)
21929
6.6 Total number of individuals trained to provide HIV-related palliative care (excluding TB/HIV)
608
Custom Targets:
Number of HIV-infected individuals attending HIV care/treatment services who are receiving cotrimoxazole
Number of HIV-infected clients attending HIV care/treatment services that are given cotrimoxazole preventive therapy
13958
HQ Technical Area:
Activity Narrative: N/A
Activity System ID: 18600
New/Continuing Activity: Continuing Activity
Related Activity:
Continuing Activity: 11967
Mechanism ID: 5961.08
Mechanism: PACT-APS Grantee
Table 3.3.06: Activities by Funding Mechansim
Prime Partner: Pact, Inc.
USG Agency:
U.S. Agency for International Development
Activity ID: 11967.08
Planned Funds: $247,500
Budget Code: HBHC
Program Area Code: 06
Funding Source: GHCS (USAID)
Program Area:
Palliative Care: Basic Health Care and Support
Continuned Associated Activity Information
Development
Continuing Activity:
New/Continuing Activity: New Activity
HQ Technical Area:
Funding Source: GHCS (USAID)
Program Area:
Palliative Care: Basic Health Care and Support
Prime Partner:
Elizabeth Glaser Pediatric AIDS Foundation
USG Agency:
U.S. Agency for International Development
Mechanism ID: 8216.08
Mechanism: Call to Action Project (EGPAF)
Budget Code: HBHC
Program Area Code: 06
Activity Narrative: n/a
Activity System ID: 19078
Activity ID: 19078.08
Planned Funds: $166,500
Table 3.3.06: Activities by Funding Mechansim
Table 3.3.06: Activities by Funding Mechansim
Prime Partner: US Department of Defense
USG Agency: Department of Defense
Funding Source: GHCS (State)
Program Area:
Palliative Care: Basic Health Care and Support
Mechanism ID: 8157.08
Mechanism:
DOD PMTCT/PC/TB/supplies/trainin g/LDF/record keeping
Activity System ID: 19094
Activity Narrative: n/a
Budget Code: HBHC
Program Area Code: 06
Activity ID: 19094.08
Planned Funds: $50,000
Continuing Activity:
Related Activity:
HQ Technical Area:
New/Continuing Activity: New Activity
Activity Narrative: n/a
HQ Technical Area:
Activity ID: 18737.08
Planned Funds: $100,000
Activity System ID: 18737
Related Activity:
New/Continuing Activity: New Activity
Continuing Activity:
Table 3.3.06: Activities by Funding Mechansim
Funding Source: GHCS (USAID)
Program Area:
Palliative Care: Basic Health Care and Support
Budget Code: HBHC
Program Area Code: 06
Mechanism ID: 8226.08
Mechanism:
Infant and Young Child Nutrition
Prime Partner: PATH
USG Agency:
U.S. Agency for International Development
Table 3.3.06: Activities by Funding Mechansim
Budget Code: HBHC
Program Area Code: 06
Activity ID: 18740.08
Planned Funds: $400,000
Activity System ID: 18740
Mechanism ID: 5956.08
Mechanism: MTCT Plus (Columbia
University)
Prime Partner:
International Center for AIDS Care and Treatment Programs, Columbia University
USG Agency:
U.S. Agency for International Development
Funding Source: GHCS (USAID)
Program Area:
Palliative Care: Basic Health Care and Support
Activity Narrative: n/a
Related Activity:
HQ Technical Area:
New/Continuing Activity: New Activity
Continuing Activity:
Table 3.3.06: Activities by Funding Mechansim
Activity Narrative: n/a
Activity System ID: 19100
New/Continuing Activity: New Activity
HQ Technical Area:
Activity ID: 19100.08
Planned Funds: $25,000
Prime Partner: US Peace Corps
USG Agency: Peace Corps
Mechanism ID: 8206.08
Mechanism: VAST grants
Budget Code: HBHC
Program Area Code: 06
Funding Source: GHCS (State)
Program Area:
Palliative Care: Basic Health Care and Support
Continuing Activity:
Related Activity:
Budget Code:
HVTB
Program Area Code:
07
HVTB - Palliative Care: TB/HIV
Program Area:
Palliative Care: TB/HIV
Total Planned Funding for Program Area:
$1,326,321
Total Planned Funding for Program Area:
$0
1
Program Area Context:
Worldwide, tuberculosis (TB) is the largest killer of HIV infected persons, and WHO estimates that 76% of TB patients in Lesotho are co-infected with HIV (WHO Report 2006). The prevalence of TB in Lesotho in 2004 was estimated at 544 per 100,000 while the incidence has been estimated at 696 per 100,000. Thirty-seven percent of TB cases were classified as smear negative. It is also estimated that the notification rate of 634 cases per 100,000 is the fifth highest in the world (WHO Global TB Report 2006). These concerns are only exacerbated by recent confirmation of multi-drug resistant (MDR) and extreme drug resistant (XDR) strains of TB in neighboring South Africa.
Lesotho's TB infrastructure has declined over the past decade and is only recently beginning to make inroads again. Lesotho's TB program was in such disarray that in 2006 the GFATM threatened to cut off its Round 2 funding unless problems were addressed effectively and rapidly. Although Lesotho reports 100% DOTS coverage, drug therapy is infrequently directly observed, and TB suspects are generally not referred to a clinic with TB diagnostic capacity. Often case detection is through clinical diagnosis or Xray rather than microscopy. Although active case finding is recommended for HIV infected people and children in close contact with active TB cases, contact-tracing is weak, and program monitoring and evaluation, quality assurance and collaboration with other programs such as HIV/AIDS and Maternal and Child Health are in desperate need of strengthening. Laboratory and human capacity, quality assurance, referral systems and drug supplies all remain severe problems.
In 2006/2007 Lesotho showed signs of responding to many of these challenges but continues to face tremendous obstacles. With USG-funded partners often serving as catalysts, collaboration between the National TB Program (NTP), the HIV Directorate and the WHO has dramatically increased. In addition to the Lesotho NTP manager and a US funded technical advisor who both began working on high level policy issues this past year, a new, Partners in Health (PIH) funded, WHO MDR TB Coordinator has just arrived and is tasked with coordinating all MDR TB related activities in the country. In addition, a senior level Laboratory Advisor, financed by the Foundation for Innovative Diagnostics (FIND), has commenced a six month temporary duty in order to help train laboratory staff and carry out a pilot study evaluating more rapid methods for performing TB cultures and detecting drug resistance.
The determination of the prevalence of MDR TB and whether or not XDR TB exists in Lesotho remain high priorities. A "rapid survey" conducted by Harvard/PIH was inconclusive due to loss of many samples from breakage or contamination during shipping. However, a protocol is now being finalized for a more comprehensive survey which is anticipated to begin in the near future.
Recently awarded GFATM, Round 6 funds for TB are focusing on scaling up implementation of DOTS and other basic NTP strengthening activities. These national efforts help ensure sustainability of continued USG supported efforts to enhance implementation of HIV/TB integration at the district and facility levels. Also, a training manual for community-based health workers was recently revised to include a TB component.
The USG will continue to place programmatic emphasis on integration of TB and HIV services. Trainings on provider-initiated HIV testing in the TB settings and referrals for HIV care and treatment have begun and are expected to expand. USG technical support has been instrumental in the development of an electronic TB register in Lesotho, and the training of key NTP individuals in this methodology has recently taken place. These individuals will be training others in the NTP for eventual roll-out nationwide. USG and its partners have completed trainings on TB detection among HIV positive patients, the management of HIV-infected children with TB, the integration of TB with maternal and child health services (see HBHC and MTCT) and the provision of prophylactic isoniazid (INH) to children under five in close contact with smear positive patients.
Current planned activities include: 1) expanded integration of TB and HIV services in the public sector beyond the six districts currently served as well as throughout the private sector; 2) improvement of the linkage of HIV-infected TB patients to HIV care and ARV treatment; 3) training in the newly developed TB registers (paper-based) that have been modified to capture HIV testing, counseling, and services among TB patients; 4) implementation of an electronic TB register for TB and HIV surveillance; 5) continued training in basic smear microscopy; 6) working with the MOHSW in the design and implementation of infection control strategies; 7) improving the turn-around time of smear results and 8) developing improved policies to strengthen the delivery of TB and other OI drugs. The provision of cotrimoxazole prophylaxis to all HIV positive TB cases has been national policy since 2004 but has been slow to be implemented in part because staffing shortages in the clinics preclude the systematic HIV testing of all TB patients.
In July 2007 the $362.5 million Millennium Challenge Corporation (MCC) compact was signed with the Government of Lesotho. This compact encompasses a $122 million health component including the refurbishing of 150 community health centers, construction of 14 hospital-based ART clinics and construction and equipping of a new national laboratory. Joint planning between MCC and the expanding group of other donors involved in TB/HIV assistance has begun to ensure cooperation and oversight for efficient leveraging and use of funds. For example, USG intends to provide technical assistance to ensure that investments in infrastructure development take into account simple administrative/workflow and environmental measures to reduce the risk of nosocomial transmission of TB, especially to HIV positive patients.
Products
National TB Guidelines, TB/HIV Strategy (to be developed), electronic and manual record and reporting system, MDR/XDR surveillance protocol, microscopy curriculum training.
Program Area Downstream Targets:
7.1 Number of service outlets providing treatment for tuberculosis (TB) to HIV-infected individuals (diagnosed or presumed) in a palliative care setting 30
7.2 Number of HIV-infected clients attending HIV care/treatment services that are receiving treatment for TB 1050
disease
7.3 Number of individuals trained to provide treatment for TB to HIV-infected individuals (diagnosed or presumed)
7.4 Number of registered TB patients who received HIV counseling, testing, and their test results at a USG supported TB service outlet
1045
6550
Custom Targets:
HQ Technical Area:
Activity Narrative: n/a
Activity System ID: 18653
New/Continuing Activity: New Activity
Related Activity:
Continuing Activity:
Mechanism ID: 8187.08
Mechanism:
Technical Assistance-ETR.net Electronic TB register
Table 3.3.07: Activities by Funding Mechansim
Prime Partner:
US Centers for Disease Control and Prevention
USG Agency:
HHS/Centers for Disease Control & Prevention
Activity ID: 18653.08
Planned Funds: $15,000
Budget Code: HVTB
Program Area Code: 07
Funding Source: GAP
Program Area: Palliative Care: TB/HIV
Related Activity:
Continuing Activity:
New/Continuing Activity: New Activity
HQ Technical Area:
Funding Source: GHCS (State)
Program Area: Palliative Care: TB/HIV
Prime Partner: US Department of Defense
USG Agency: Department of Defense
Mechanism ID: 8157.08
Mechanism: DOD
PMTCT/PC/TB/supplies/trainin
g/LDF/record keeping
Budget Code: HVTB
Program Area Code: 07
Activity Narrative: n/a
Activity System ID: 19095
Activity ID: 19095.08
Planned Funds: $50,000
Table 3.3.07: Activities by Funding Mechansim
Continuing Activity:
New/Continuing Activity: New Activity
HQ Technical Area:
Related Activity:
Funding Source: GAP
Program Area: Palliative Care: TB/HIV
Prime Partner:
US Centers for Disease Control and Prevention
USG Agency:
HHS/Centers for Disease Control & Prevention
Mechanism ID: 8203.08
Mechanism: CDC Chief of Party and
Technical Program Specialist
salaries and benefits
Budget Code: HVTB
Program Area Code: 07
Activity Narrative: CDC Chief of party salary and benefits.
Activity System ID: 19122
Activity ID: 19122.08
Planned Funds: $100,000
Related Activity:
Continuing Activity:
Activity ID: 18888.08
Planned Funds: $150,000
Budget Code: HVTB
Program Area Code: 07
Funding Source: GHCS (State)
Program Area: Palliative Care: TB/HIV
Activity System ID: 18888
New/Continuing Activity: New Activity
HQ Technical Area:
Activity Narrative: N/A
Prime Partner:
University Research Corporation, LLC
USG Agency:
U.S. Agency for International Development
Mechanism ID: 8291.08
Mechanism:
Health Care Improvement (HCI)
Table 3.3.07: Activities by Funding Mechansim
Table 3.3.07: Activities by Funding Mechansim
Funding Source: GAP
Program Area: Palliative Care: TB/HIV
Prime Partner:
US Centers for Disease Control and Prevention
USG Agency:
HHS/Centers for Disease Control & Prevention
Mechanism ID: 8354.08
Mechanism: MDR-TB TA from Atlanta
Budget Code: HVTB
Program Area Code: 07
Activity Narrative: N/A
Activity System ID: 19117
Activity ID: 19117.08
Planned Funds: $20,000
HQ Technical Area:
Related Activity: Continuing Activity: New/Continuing Activity: New Activity
Mechanism ID: 6208.08
Mechanism:
Health Care Improvement (HCI)
Prime Partner:
University Research Corporation, LLC
USG Agency:
U.S. Agency for International Development
Table 3.3.07: Activities by Funding Mechansim
Funding Source: GHCS (USAID)
Program Area: Palliative Care: TB/HIV
Related Activity:
HQ Technical Area:
New/Continuing Activity: New Activity
Continuing Activity:
Activity System ID: 18743
Activity ID: 18743.08
Planned Funds: $450,000
Budget Code: HVTB
Program Area Code: 07
Activity Narrative: n/a
HVCT - Counseling and Testing
Program Area Code:
09
Budget Code:
HVCT
Program Area:
Counseling and Testing
Total Planned Funding for Program Area:
$3,170,000
Total Planned Funding for Program Area:
$0
Estimated local PPP contribution in dollars
$0
Estimated PEPFAR contribution in dollars
$0
1
Program Area Context:
Lesotho has a population just 1.8 million people and one of the highest HIV prevalence rates in the world. During the 2005 National HIV Serosurveillance of Women Attending Antenatal Care Services the HIV prevalence was estimated at 23% among the adult population. It is believed that there are approximately 270,000 people living with HIV/AIDS in Lesotho (2006 UNAIDS estimates). Most of these people do not know that they are infected with HIV, that there is treatment and care available for HIV infected persons or how to avoid further transmission of the virus.
For many reasons expanding HIV counseling and testing (HCT) services has been a difficult challenge throughout this mountainous country. It is estimated that only 12% of women and 9% of men have ever tested for HIV and received their results
(Lesotho Demographic Health Survey (DHS), 2004). Most of the usual barriers to counseling and testing for HIV exist in Lesotho including a lack of knowledge, fears of social isolation, stigma and apprehension of being given a "death sentence". In addition, Lesotho also has its own set of special circumstances that make a comprehensive HCT program difficult. Although geographically small, many people live in rural areas which are difficult to reach and their contact with health care workers is limited. Almost half of women and men (49% each) who have never been tested report wanting to be tested and most of them are living in rural areas; this represents a large pool of unmet need for HCT (Lesotho DHS, 2004). These Basotho also do not have easy access to newspapers or television, and therefore are often lacking important information regarding health care issues, including HIV.
Recognizing these problems, in 2004 the Government of Lesotho (GOL) launched the "Know Your Status" (KYS) campaign, which has become a centerpiece of the national program against HIV/AIDS. This ambitious, high-profile campaign initially called for all Basotho (people) 12 years of age and older to be tested by the end of 2007. (Children under 12 may be tested with parental consent in the KYS or provider initiated setting.) The plan focuses not only on testing but also on HIV education, the promotion of appropriate workplace policies and the assurance of proper referrals into treatment and care as needed. The focus of this campaign is the use of broadly educated community health care workers (CHW) for much of the implementation. Many of these CHWs go door to door, educating the population and offering counseling, testing and referral services.
The GOL and other stakeholders are aware and concerned that the KYS campaign has already created a corresponding demand for care and treatment as well as support services which is unevenly distributed throughout the country. By 2007, the KYS Campaign had been launched in all ten districts, but because of lack of physical and human resources the program has been struggling to meet the huge demand of counseling, testing and related services. It has been estimated that (200,200) Basotho have been counseled and tested through "Know their Status" as of June 2007. HCT services are currently provided in more than 100 public and private facilities and by NGOs throughout the country. The lowland areas are easier to reach and have much greater coverage than the mountainous regions. Importantly, several NGOs also provide stand-alone, mobile HCT, and referral services. Most of these HCT services are client-initiated, however, and only recently are efforts being made to routinely offer provider-initiated HCT to clients in ante-natal care (ANC), tuberculosis (TB) and sexually-transmitted infections (STI) clinics (see MTCT, HVTB and HTXS). Many patients have declined these services, however, and efforts are being made to increase uptake. Testing of concurrent partners also remains a challenge because of the attached stigma.
Although the KYS campaign and the associated scale up have been supported by the World Health Organization (WHO)/United Nations Development Program (UNDP), Irish Aid, USG and others, comprehensive funding to finance this immense undertaking has not been forthcoming. At the request of the HIV/SIDS Directorate, USG has taken part in some training of trainers of CHW for the KYS program. The training of CHWs for KYS has also been very broad in scope and efforts are being made to concentrate USG-supported trainings more specifically on counseling and testing quality assurance systems. (see HBHC and OHPS).
In 2004, HCT guidelines were issued by the Ministry of Health and Social Welfare (MOHSW) recommending the WHO serial testing algorithm using the rapid tests, "Determine" and "Double Check" in all settings. These commodities have by and large been supplied by the GOL though the Global Fund monies but there have been problems. Current procurement and inventory management systems are insufficient to support the demands of the country. Stock-outs are not uncommon. Testing methodology remains uneven. Counseling and testing proficiency varies greatly by individual, and CHW trainings need better coordination and inclusion of quality assurance measures.
To date, the USG and its partners have provided significant assistance to the MOHSW in the promotion of HCT and the establishment of available HCT services including the building and operation of five stand-alone New Start Centers with a mobile clinic attached to each of these five centers. These client-initiated HCT services have set standards and created operating procedures which have frequently been adopted by the MOHSW. A new HCT register has recently been developed and implemented with the assistance of a USG partner and improved record keeping and M&E in HCT is a priority. Additionally, USG implementing partners have participated in the development of the KYS Strategy and Implementation document and USG staff and partners currently sit on the KYS Steering Committee, Technical Working Group, and the Communications Committee. It is noteworthy, however, that HCT support is not necessarily perceived by the MOHSW as assisting the KYS program. Although HCT support is welcome, this facility and mobile clinic type of assistance is considered separate and distinct from directly assisting the KYS program which is considered a community broad-based, door-to-door campaign by the MOHSW. Nonetheless, both the USG and the MOHSW recognize that quality counseling and testing services is a necessary component of any comprehensive program.
In FY08 the USG and its partners will continue to support the MOHSW with the expansion of its HCT program while emphasizing the quality of associated trainings and total quality assurance of its laboratory component (see HLAB). USG will assist in ensuring that KYS is implemented with a quality training package, appropriate supervision of lay counselors, accurate and efficient reporting and feedback loops, and quality assurance of the counseling and testing services.
A main focus of USG efforts in FY08 will be to strengthen HCT services (including referrals). This will not necessarily be through increasing the number of client-initiated sites but rather through making better use of existing facilities (i.e. trainings, expansion of mobile units and mentorships) and expanding outreach. There will also be a continued effort to assist the MOHSW transition to community-based opt-out HCT services and provider initiated services in the health clinics, tuberculosis (TB) facilities and hospitals. The USG team will ensure that a genuine opt-out option is included for clients tested in the community setting (see HVTB, MTCT and HBHC) and USG Technical Assistance is planned to determine the optimal way to ensure a high quality, successful KYS program in conjunction with rights-based HCT policies.
During FY08, USG and its partners Population Services International (PSI) and University Research Corporation (URC)) will increase their outreach programs to the general population. This includes offering testing during community gatherings ("pitsos"), continued coverage of all 10 districts with mobile teams, and assistance to public health facilities (especially TB, ANC, STI and out -patient department clinics), private service providers and Lesotho Defense Forces (LDF) in establishing high-uptake and qualityassured provider-initiated HCT services. A strong emphasis will be placed upon ensuring sexual prevention messages are part of HCT (see AB narrative) and on establishing an appropriate referral system for people that will include all aspects of prevention, care and support for both HIV negatives and positives. During FY08 the USG partners will assist the MOHW in implementing a new HCT register and creating reporting forms to capture HCT and referral data in systematic way.
Products
System for recording and reporting counseling and testing results and referrals; guidelines for quality assurance of counseling and rapid testing training curriculums under both provider initiated and client initiated venues.
Program Area Downstream Targets:
9.1 Number of service outlets providing counseling and testing according to national and international standards
29
9.3 Number of individuals trained in counseling and testing according to national and international standards
127
9.4 Number of individuals who received counseling and testing for HIV and received their test results (excluding TB) 66000
Custom Targets:
Table 3.3.09: Activities by Funding Mechansim
Activity ID: 11982.08
Budget Code: HVCT
Activity Narrative: N/A
Activity System ID: 18605
Funding Source: GAP
Prime Partner:
Population Services International
Mechanism ID: 5944.08
HQ Technical Area:
Continuing Activity: 11982
New/Continuing Activity: Continuing Activity
Related Activity:
Mechanism: Increasing access to HIV C&T
USG Agency:
HHS/Centers for Disease Control & Prevention
Program Area: Counseling and Testing
Program Area Code: 09
Planned Funds: $50,000
Continuned Associated Activity Information
C&T
Budget Code: HVCT
Program Area Code: Program Area:
09
Table 3.3.09: Activities by Funding Mechansim
Mechanism ID: 5942.08
Mechanism: Military Bases Outreach
Funding Source: GHCS (State)
Counseling and Testing
Prime Partner:
Population Services International
USG Agency: Department of Defense
Activity Narrative: n/a
HQ Technical Area:
Activity ID: 19087.08
Activity System ID: 19087
New/Continuing Activity: New Activity
Continuing Activity:
Related Activity:
Planned Funds: $20,000
Mechanism ID: 6207.08
Mechanism:
Increasing access HIV C&T/Male Circumcision
Prime Partner:
Population Services International
USG Agency:
HHS/Centers for Disease Control & Prevention
Table 3.3.09: Activities by Funding Mechansim
Funding Source: GHCS (State)
Program Area: Counseling and Testing
Activity System ID: 18660
Activity Narrative: n/a
Budget Code: HVCT
Program Area Code: 09
Activity ID: 18660.08
Planned Funds: $1,500,000
HQ Technical Area:
Related Activity:
New/Continuing Activity: New Activity
Continuing Activity:
Related Activity:
Budget Code: HVCT
Program Area Code: 09
Activity ID: 18634.08
Planned Funds: $45,000
Prime Partner:
International Labor Organization
USG Agency: Department of Labor
Funding Source: GHCS (State)
Program Area: Counseling and Testing
Activity System ID: 18634
New/Continuing Activity: New Activity
Continuing Activity:
Activity Narrative: n/a
HQ Technical Area:
Table 3.3.09: Activities by Funding Mechansim
Mechanism ID: 5940.08
Mechanism:
HIV/AIDS Workplace Education Program
Table 3.3.09: Activities by Funding Mechansim
Mechanism ID: 8357.08
Mechanism: LDF survey
Activity ID: 19126.08
Planned Funds: $20,000
Activity System ID: 19126
Budget Code: HVCT
Program Area Code: 09
Prime Partner: Research Triangle Institute
USG Agency: Department of Defense
Funding Source: GHCS (State)
Program Area: Counseling and Testing
Continuing Activity:
Related Activity:
New/Continuing Activity: New Activity
Activity Narrative: n/a
HQ Technical Area:
Funding Source: GHCS (State)
Program Area: Counseling and Testing
Prime Partner: US Department of Defense
USG Agency: Department of Defense
Mechanism ID: 8157.08
Mechanism:
DOD PMTCT/PC/TB/supplies/trainin g/LDF/record keeping
Activity System ID: 19096
Activity ID: 19096.08
Planned Funds: $35,000
Budget Code: HVCT
Program Area Code: 09
Table 3.3.09: Activities by Funding Mechansim
New/Continuing Activity: New Activity
HQ Technical Area:
Activity Narrative: Supplies for mobile clinic
Related Activity:
Continuing Activity:
HTXD - ARV Drugs
Program Area Code:
10
Budget Code:
HTXD
Program Area:
HIV/AIDS Treatment/ARV Drugs
Total Planned Funding for Program Area:
$176,578
Total Planned Funding for Program Area:
$0
Percent of Total Funding Planned for Drug Procurement
Estimated PEPFAR contribution in dollars
$0
Estimated local PPP contribution in dollars
$0
Amount of Funding Planned for Pediatric AIDS
$0
1
Program Area Context:
The Government of Lesotho (GOL) has made a substantial commitment to providing antiretroviral treatment for the country. By the end of 2006, all districts were providing ARV drugs free of charge. The GOL itself is currently contributing more to the purchase of ARVs than the grant dollars from the Global Fund. Given the PEPFAR team's strategic priorities and budgetary considerations the PEPFAR program does not currently procure ARV drugs nor is there a plan to do so in FY08.
Systems supporting the procurement and delivery of ARV drugs however, are weak, however procurement, storage and distribution of all medicines to all government, para-statal, and mission hospitals, clinics and health centers throughout the country occurs through the National Drug Supply Organization (NDSO) based outside the capital in Mafeteng; whereas HIV-specific drugs are supplied through the HIV/AIDS Products Coordination Unit (HAPCO), resulting in uncoordinated and duplicative systems. The Health Management Information System (HMIS) does not capture appropriate HIV information and logistics and supply chain systems have substantial gaps in supply of drugs and equipment. At facility levels, infrastructure to support already weak pharmaceutical systems is lacking, and systems are not computerized. The current Pharmacy Act (under the Medicine Act) dates back to 1929 and clearly needs updating to address HIV/AIDS. There is a dearth of pharmacists and pharmacist assistants and among the few in practice, skills are weak.
A number of interventions have been introduced in Lesotho over the years in an effort to improve access to essential pharmaceutical products. Health Research for Action (HERA) was awarded a World Bank funded contract to strengthen inventory management and security at all hospitals thus enabling the National Drug Supply Organization (NDSO) and the Procurement Unit to engage in international competitive bidding for procurement services. Construction of a new central drug storage warehouse for the NDSO was required as a 'condition precedent' before GFATM funds could be used to resume purchase of ARVs. This contract will end in February 2008. This work was preceded by an assessment of the medicines supply management system, the procurement services provided by the NDSO and a risk and security assessment of health facilities, conducted between August and September 2006.
The Rational Pharmaceutical Management Program (RPM-Plus) managed by Management Sciences for Health has been providing support in Lesotho since October 2005 to improve pharmaceutical services and the availability and appropriate use of ARVs and HIV and AIDS-related commodities at national, district and/or facility levels through the strengthening of NDSO information system operations, the improvement of quantification practices, training to pharmacists, pharmacy technicians and health care providers, and the implementation of a computerized drug supply management system at ART sites.
Despite the past assessments of the drug supply system that have been undertaken in Lesotho, shortages of essential HIV and AIDS related commodities including ARV drugs and lab reagents, disposable supplies, rapid test kits, condoms, and most recently CD4 machines, have been reported. Rapid replenishment has required emergency action on the part of various stakeholders. Program managers have recognized that HIV/AIDS commodity procurements are fragmented and uncoordinated and that areas such as laboratory and condoms still need to be addressed.
Because of frequent stock-outs of non-ARV HIV-related commodities, the USG PEPFAR Team has requested SCMS and RPMPlus to undertake a comprehensive analysis of the HIV/AIDS prevention, care and treatment related commodities supply chain(s) in Lesotho that also include ARVs. With the end of the RPM-Plus contract in September 2008 and the follow-on award of Strengthening Pharmaceutical Services (SPS), RPM-Plus will be noted in discussion of past activities while SPS will be used in discussion of continuing or new activities.
Based on the outcomes of the HIV/AIDS supply chain situation analysis produced out of the joint SCMS/RPM-Plus assessment team, the USG/PEFAR team will develop plans for specific partner responsibilities. The priority areas to address are 1. national pharmaceutical policies; procurement; quantification and quality assurance; warehousing; distribution and logistics; and facility supply management and use to SPS.
Product selection: In FY07 RPM Plus has been working with the MOHSW to review existing regulation and legislation relevant to the procurement and distribution of medicines. In FY08, SPS will continue to assist the Pharmacy Services to strengthen the Lesotho Medicines Regulatory Authority to regulate the importation, procurement, storage and distribution of medicines for the public and private sector. SPS will continue to provide technical assistance and build the capacity of the National Drug Therapeutic Committee (NDTC) members to ensure that they can assume their critical roles and functions such as: the development and compilation of national standard treatment protocols and guidelines (STGs) for HIV and AIDS, OI's, TB and other diseases in line with international recommendations; to ensure that the selection of essential medicines is in line with evidence based medicine approaches.
Forecasting/quantification: Building on the forecasting work of the Clinton Foundation, SPS, in collaboration with SCMS, will continue to strengthen quantification practices and the monitoring of estimates vs. purchases vs. morbidity data for medicines
used for HIV/AIDS, TB, STIs, OIs using the forecast scenarios approach. The focus during FY07 was on ARV quantification at both central (NDSO) and facility levels (Hospitals). Additional models will be introduced to quantify other priority diseases (TB, OIs, STIs) and commodities (lab reagents), other relevant program managers and health personnel will also be included in this program. The decentralization of the quantification is one of the key success factors; therefore facility level procedures will be developed and implemented.
Procurement: RPM Plus/SPS will strengthen national procurement capacity by providing technical assistance in verification of vendor quality, development of fulfillment plans, and monitoring of funds flow.
In-country warehousing: RPM Plus has supported the implementation of a computerized warehouse management system (Orion@MSH) at NDSO. With FY08 funds, SPS will assist NDSO in improving their management, including the management of personnel in collaboration with Intra-Health. SPS, in collaboration with SCMS, will continue to support the management of NDSO including monitoring of supplier performance, reviewing facilities expenditures and improving financing mechanism.
Logistics Management Information system: SPS will continue to implement drug tracking systems (both manual and computerized) to ensure availability of essential medicines, optimize reorder level, monitor expenditures and strengthen the accountability of stock at all levels (one of the requirements for the disbursement of GFATM funds). In FY07 RPM-Plus has implemented its inventory and dispensing computerized system (RxSolution) at 5 pilot sites to support access to ART. During FY08, additional sites will include private and faith based organisation facilities (including Christian Health Association of Lesotho, "CHAL"). With FY08 funds, SPS will continue providing support to the system implementation and improvement, building capacity at the site level to ensure that the system is fully functional and that health personnel use the collected data to support management. SPS will build National level counterpart capacity to maintain and support the system. SPS will implement a centralized data repository at the national level to assist with the monitoring of use and availability of essential commodities throughout the country.
Capacity building: RPM Plus/SPS will conduct training on quantification of medicine requirements. Pharmacists, procurement officers and program managers at national and district level will be trained in forecasting commodities requirements using consumption and morbidity based methods. Additionally, SPS will train pharmacy technicians, facility managers and data clerks in using all the functions of the computerized drug supply management system, to support activities related to procurement, storage, distribution, dispensing and down referral, thereby ensuring availability of ARVs at all times.
Products
A comprehensive strategic plan for supply chain management in Lesotho and development of quantification procedures.
Program Area Downstream Targets:
Custom Targets:
Table 3.3.10: Activities by Funding Mechansim
Activity ID: 11983.08
Budget Code: HTXD
Activity System ID: 18596
HQ Technical Area:
Activity Narrative: N/A
Mechanism ID: 5964.08
Funding Source: GHCS (USAID)
Prime Partner:
Management Sciences for Health
Continuing Activity: 11983
New/Continuing Activity: Continuing Activity
Related Activity:
$176,578
Program Area Code: 10
Mechanism:
Strengthening Pharmaceutical Services (SPS)
Program Area:
HIV/AIDS Treatment/ARV Drugs
USG Agency:
U.S. Agency for International Development
Planned Funds:
Continuned Associated Activity Information
Development
Health
HTXS - ARV Services
Budget Code:
HTXS
Program Area:
HIV/AIDS Treatment/ARV Services
Program Area Code:
11
Total Planned Funding for Program Area:
$797,400
Total Planned Funding for Program Area:
$0
1
Program Area Context:
According to UNAIDS 2006 estimates, approximately 270,000 people are infected with HIV in Lesotho, 56,000 of whom are thought to be in need of antiretroviral therapy (ARV). At end November 2006 the Government of Lesotho (GOL) estimated that 18,000 people have started ARV. To support rapid ARV services, GOL instituted a 2% allocation of line Ministry budgets for HIV/AIDS scale up nationwide and directed these funds to the National AIDS Commission (NAC). HIV/AIDS Global Fund (GFATM) grants contain major treatment components (including the purchase of ARV drugs) and grant implementation is supported by a World Bank grant. Pediatric ARV was launched in 2005 with the inauguration of the Baylor Pediatric Centre of Excellence (COE) and the Clinton Foundation's pediatric AIDS clinic in Maseru. Other development partners supporting ARV services in Lesotho include WHO, UNICEF, OHAfrica (Canadian NGO), Partners in Health (not PEPFAR funded in Lesotho), Doctors Without Borders (MSF) and other private U.S. foundations. The recently signed (July 23rd 2007) Millennium Challenge Corporation (MCC) grant will build and/or renovate clinics integrating ART clinics with Out Patient Departments (OPD), hospitals and lab facilities and facilitate training to health staff.
Although ARV services are being integrated into the health system and comprehensive National HIV/AIDS Clinical Care Guidelines (2004) for adults and children exist, there remain severe gaps in human resources, including training for the medical and nursing professions, training of front-line laboratory personnel, and other unmet needs in quality assurance and logistics systems for HIV/AIDS and TB-related lab services (see Lab). Even before the Know Your Status (KYS) testing campaign was launched, the client demand at ARV sites already exceeded capacity to respond, as witnessed by long waiting lines at ARV clinics. Laboratory systems are not adequate to deliver high quality services; challenges include inadequately trained personnel, poor equipment and procurement planning, inadequate maintenance of laboratory equipment, outdated safety protocols, poorly implemented Standard Operating Procedures (SOPs), and limited laboratory supervision. At community level, adherence to ARV poses an as yet unmet challenge, while lack of accurate and customized information concerning availability of ARV services continues to prevent ARV-seeking behavior, particularly in isolated rural and mountainous communities in Lesotho. Referral mechanisms between ARV services and community-level care and support services are very weak although the MOHSW HIV/AIDS Directorate has expressed interest in strengthening referrals.
National statistics are not yet available; therefore the following statistics are coming from sites supported by our main partner in
this area, ICAP. • Number of service outlets providing antiretroviral therapy for adults and for children at the beginning of the reporting period (5) and projected for the end of the reporting period (16).
* Number of adults and children receiving HIV care, including those on antiretroviral therapy, at the beginning of the reporting period (9,783) and projected for the end of the reporting period (11,659).
* Number of adults and children on antiretroviral therapy, at the beginning of the reporting period (4,030) and projected for the end of the reporting period (6,318).
*Approximately 65% of adults and 75% of children who enrolled in ART are alive and on ART at 12 months of therapy.
These proportion were determined using current only available data for all individuals ever enrolled on ART who were on ART at the end of June, 2007 which shows that the overall retention rate for adults ever enrolled on ART is about 65% and slightly higher ~ 75% for children.
* Of those who enrolled in ART but are not currently on ART, 14.4% died, 0.2% stopped
therapy, 9.7% transferred out, or 44.8% were lost to follow up. That data are not available for 6, 12, and 24 months, the proportions presented above are for all individuals ever enrolled on who were not on ART at the end of June, 2007.
* Of persons on ART, the median differential between the CD4+ cell count at baseline (96.25) and the CD4+ count at 12 months of therapy (296.25) is 200. The CD4+ cell median differential data are based on individuals >5 years only. Due to national challenges with CD4+ cell count machines and shortages of reagents, the median CD4+ cell counts after 12 months are based on small proportions of individuals (115) in the cohort who are still on ART, and are thus not truly reflective of the actual CD4+ cell count changes for the entire cohort (519).
* Health workers trained to deliver adult ART services and ART services to children, according to national and/or international standards are the same: 124 at the end of March 2007 (SAPR).
This program area is not one of the USG/PEPFAR team priority areas per se, and what will be addressed here are more the "plus" of our PMTCT-Plus activities with our main core-funded partners ICAP and EGPAF (see PMTCT program area) and some activities in the military, with the underlying issues of supply chain management (see ARV Drugs program area) and health care workers capacity building (see OHPS program area) that are addressed in collaboration with other PEPFAR funded partners such as RPM-Plus and SA-HCD coalition.
In FY 08, ICAP and EGPAF will reorganize their programs by district in an efficient response to the MOHSW request for a district approach to services. Each partner will assume responsibility for comprehensive PMTCT-Plus services, in an entire district. EGPAF will take the lead in the North-western districts (Butha Buthe, Leribe and Berea) after a transition period of several months - ICAP in the South-western districts (Mafeteng, Mohales Hoek and Quthing). The partners will continue to collaborate in Maseru district, with EGPAF taking the lead for PMTCT and ICAP supporting Care and Treatment, covering a total of 7 districts out of 10 (see PMTCT program area).
Based on the tenets of the MTCT-Plus model of care, ICAP will support the provision of a family-centered HIV service which will comprise of HIV specific care, including access to a number of standardized antiretroviral options, to HIV infected women and children identified in PMTCT programs, and for their HIV infected partners and other family members. ICAP will support the roll-out of treatment to health centers by 1) strengthening the link between PMTCT and ART program, 2) improving clinical management of patients on HAART in stand alone ART Clinics, 3) facilitating the expansion of access to pediatric HIV care and treatment in the area of follow-up of HIV exposed infants and children in working closely with Clinton and Baylor COE, 4) strengthening laboratory services, working closely with CDC Lab Manager, the MOHSW Laboratory Directorate, ensuring continuous access to CD4 and other laboratory tests needed to initiate treatment and monitor HIV and OIs. ICAP will also support laboratory staff at sites to become more active in multidisciplinary team activities and improve on specimen collection systems and turn-around times for lab results, 5) strengthening pharmacy services with regard to supply chain management and adherence issues, 6) strengthening linkages and referrals through community outreach activities working closely with the MOHSW, the District Health Management Teams (DHMTs) and Mothers to Mothers organization, which includes addressing lost to follow-up issues.
ARV services is a new activity for EGPAF in FY08. As EGPAF expands its activities, a Care and Treatment Program Advisor ,with expertise in pediatric HIV, will be hired to provide technical leadership in this area. The program's primary focus will be on following women after delivery, providing a continuum of care for her and her family. Active case-finding and diagnosis in other MCH areas will increase the number of women, children and other family members enrolled in care. The majority of adult treatment programs are covered by the MOHSW or other non-USG partners such as OHA Africa in Leribe district, and the majority of pediatric ART is provided through the Baylor COE and their Pediatric AIDS Corps. EGPAF will work with ART providers in all sites to ensure the continuum of care for HIV+ women and children from PMTCT programs and casefinding activities in MCH clinics. Family Support Groups will provide additional adherence support at the community level in collaboration with facility-based efforts.
Both partners will conduct ARV Services training as part of a comprehensive MTCT-Plus training modules that ensure a standardized and coordinated HIV/AIDS training, The training is geared towards enhancing performance and strengthening program implementation capacity of all health care workers at the facilities: lay counselors, PLWHA (Peer Mothers and expert patients), social workers, nurses, midwives, laboratory technicians, pharmacy technicians, matrons, doctors. The training approach will be a mixture of didactic sessions, clinical implementation/preceptorship sessions and case study activities. (Clinical case reviews, bedside teaching, assist with referred and complicated cases).
DOD will support HIV treatment through trainings for healthcare personnel of the Lesotho Defense Force and peer educators and through provision of equipment and supplies. LDF will increase participation of LDF PLWHA in all of their HIV programs (prevention, care and treatment). PLWHA will work with the peer educators, in the clinics and with the Mobile Clinic team going to remote military bases.
Products:
Increased number of health centers providing PMTCT-plus services.
Development or adaptation of HAART job aids.
Development and dissemination of client orientated IEC Materials
Support of minor renovations and provision of equipment to enhance service delivery
Program Area Downstream Targets:
Custom Targets:
Table 3.3.11: Activities by Funding Mechansim
Related Activity:
New/Continuing Activity: Continuing Activity
Continuing Activity: 12136
HQ Technical Area:
Mechanism ID: 5956.08
Mechanism:
MTCT Plus (Columbia University)
Prime Partner:
International Center for AIDS Care and Treatment Programs, Columbia University
USG Agency:
U.S. Agency for International Development
Funding Source: GHCS (USAID)
Program Area:
HIV/AIDS Treatment/ARV Services
Activity System ID: 18591
Activity Narrative: N/A
Budget Code: HTXS
Program Area Code: 11
Activity ID: 12136.08
Planned Funds: $400,000
Continuned Associated Activity Information
Development
Mechanism ID: 8216.08
Mechanism: Call to Action Project (EGPAF)
Prime Partner:
Elizabeth Glaser Pediatric AIDS Foundation
USG Agency:
U.S. Agency for International Development
Table 3.3.11: Activities by Funding Mechansim
Funding Source: GHCS (USAID)
Program Area:
HIV/AIDS Treatment/ARV Services
Budget Code: HTXS
Program Area Code: 11
New/Continuing Activity: New Activity
Continuing Activity:
Related Activity:
HQ Technical Area:
Activity ID: 19079.08
Activity System ID: 19079
Activity Narrative: n/a
Planned Funds: $166,500
Table 3.3.11: Activities by Funding Mechansim
Funding Source: GHCS (USAID)
Program Area: HIV/AIDS Treatment/ARV
Services
Mechanism ID: 5964.08
Mechanism:
Strengthening Pharmaceutical Services (SPS)
Prime Partner:
Management Sciences for Health
USG Agency:
U.S. Agency for International Development
Budget Code: HTXS
Program Area Code: 11
Activity Narrative: n/a
Activity System ID: 18746
Activity ID: 18746.08
Planned Funds: $180,900
HQ Technical Area:
Related Activity:
Continuing Activity:
New/Continuing Activity: New Activity
Continuing Activity:
New/Continuing Activity: New Activity
HQ Technical Area:
Related Activity:
Activity Narrative: Training
Prime Partner: US Department of Defense
USG Agency: Department of Defense
Mechanism ID: 8161.08
Mechanism:
DOD Prevention/Training/Local hire
Table 3.3.11: Activities by Funding Mechansim
Funding Source: GHCS (State)
Program Area:
HIV/AIDS Treatment/ARV Services
Activity System ID: 19092
Activity ID: 19092.08
Planned Funds: $50,000
Budget Code: HTXS
Program Area Code: 11
HLAB - Laboratory Infrastructure
Budget Code:
HLAB
Program Area:
Laboratory Infrastructure
Program Area Code:
12
Total Planned Funding for Program Area:
$695,900
Total Planned Funding for Program Area:
$0
$0 $0
1
Estimated local PPP contribution in dollars
Program Area Context:
The Ministry of Health and Social Welfare (MOHSW) in Lesotho continues to face increased patient loads, a high rate of HIV/AIDS and TB co-infections, critical staff shortages in allied medical staff, deteriorating and inadequate infrastructure; shortages of essential equipment and supplies, weak laboratory services and specimen management and transport. These issues are starting to be address by the cooperative efforts of the U. S. Government PEPFAR team including the Millennium Challenge Corporation (MCC), the Lesotho MOHSW, World Health Organization (WHO), Partners in Health (PIH), and the Fund for Innovative New Diagnostics (FIND). The U. S. Government PEPFAR team (USG) will be leveraging the resources of these organizations to build a new national reference laboratory and blood transfusion center and to build a new tuberculosis laboratory capable of performing culture and drug susceptibility testing. The U. S. G. will continue to support the training of laboratory health workers and provide technical assistance to develop and improve quality management systems infrastructure.
The Central Laboratory serves as the leader and reference lab for other hospital and clinic labs in the ten districts of Lesotho. One of the biggest issues facing the laboratory currently is a lack of resources to manage reagents for testing CD4 and chemistry and haematology in the district and Central laboratories. This is an issue that is not always due to a lack of money as adequate resources from Global Fund are available to purchase reagents. The issue is one of supply chain management and distribution. Lesotho has a very high rate of tuberculosis within its HIV-positive population. Many of these patients are thought to have multidrug resistant Mycobacterium tuberculosis. With the issues associated with multi-drug resistant tuberculosis there is a dire need to build capacity and infrastructure in the national TB laboratory. The current lab has been assessed and found not to conform to international standards set by the WHO. Partners in Health, WHO and Fund for Innovative New Diagnostics (FIND) are working to build an infectious diseases hospital and a new TB laboratory. The USG will support this effort by offering TA in lab design, lab safety, quality assurance and the development of SOPs to support the culture and susceptibility testing of Mycobacterium tuberculosis. Additional USG efforts will continue to build on its current support in training and mentoring of laboratory staff in Quality Systems and Phlebotomy by continuing to assist in implementing the USG-initiated QA program to strengthen and expand laboratory services to support the Know Your Status (KYS) campaign, TB/HIV integration services and to support a functioning, integrated national laboratory network. This network will also include laboratories at military installations. The USG will support the improvement and expansion of clinical laboratory capacity through essential technical assistance, training, and supervision to strengthen Lesotho's laboratory infrastructure and function. Specifically, the USG will:
*Assist with a rationalized plan for a tiered laboratory referral system to meet short- and longer- term lab systems needs including the establishment and pre-service training of much needed new positions, e.g. laboratory technologists, and laboratory technology assistants, and in-service support and long-term lab training in quality assurance (QA) protocols, supervision/mentoring, standard operating procedures (SOP), chemistry, haematology, CD4 testing, logistics and management
*Help strengthen the surveillance function of the central reference laboratory to support multiple drug resistant (MDR and XDR)
TB and HIV incidence studies.
*Development of an effective laboratory transport and communication system to ensure access to laboratory support and maximize laboratory utilization.
Activities in Lesotho will be coordinated through technical assistance from the USG PEPFAR team. CDC will work with partners such as the American Society for Clinical Pathology (ASCP) and the National Institute for Communicable Diseases (NICD) and with the Clinton Foundation (CF) to develop a training plan and implementation strategy to strengthen laboratories in Lesotho. As part of this training plan, the USG is working with the WHO to develop training for rapid HIV testing to support the KYS campaign along with a quality assurance strategy to monitor the quality of testing by home-based counselors and testers. The USG will also work with Capacity Project to build human resource capacity and management within Laboratory services. Management Sciences for Health through RPM+ and USAID's Supply Chain Management System will work with the USG to help build a better system to manage and to distribute laboratory reagents and supplies to laboratories in Lesotho. The MCC and the USG will work together to building a new national reference laboratory and blood transfusion center. Safe Blood for Africa will provide technical assistance to support the new blood transfusion center. The USG team through the U. S. Department of Defense will support the improvement of laboratory infrastructure for the military facility in Maseru. Military personnel and facilities will be included in all activities provided for civilian personnel and facilities. Additional activities will be provided by the South Africa Medical Research Council (SAMRC) and the South Africa National Health Laboratory Services (NHLS) to provide support for HIV/TB services and the national survey for drug resistance in Mycobacterium tuberculosis in TB patients in Lesotho.
Products
Procedures for Supply Chain management; Human Resource and Capacity Development strategy to include budgeting, workforce requirements and staff retention; Distribution system for laboratory reagents and supplies; Infection control guidelines for tuberculosis laboratory and clinics; TB culture and drug susceptibility testing to second-line drugs; Quality Assurance guidelines – internal and external.
Program Area Downstream Targets:
12.1 Number of laboratories with capacity to perform 1) HIV tests and 2) CD4 tests and/or lymphocyte tests
12.2 Number of individuals trained in the provision of laboratory-related activities
12.3 Number of tests performed at USG-supported laboratories during the reporting period: 1) HIV testing, 2)
TB diagnostics, 3) syphilis testing, and 4) HIV disease monitoring
Custom Targets:
Mechanism ID: 8195.08
2
107
84600
Overseas Technical Support
Mechanism:
Related Activity:
Budget Code: HLAB
Program Area Code: 12
Activity ID: 18663.08
Planned Funds: $200,000
Prime Partner: Comforce
USG Agency:
HHS/Centers for Disease Control & Prevention
Funding Source: GAP
Program Area: Laboratory Infrastructure
Activity System ID: 18663
New/Continuing Activity: New Activity
Continuing Activity:
Activity Narrative: n/a
HQ Technical Area:
Table 3.3.12: Activities by Funding Mechansim
Related Activity:
Continuing Activity:
Funding Source: GHCS (USAID)
Program Area: Laboratory Infrastructure
Budget Code: HLAB
Program Area Code: 12
Mechanism ID: 5964.08
Mechanism:
Strengthening Pharmaceutical Services (SPS)
Prime Partner:
Management Sciences for Health
USG Agency:
U.S. Agency for International Development
Activity ID: 18750.08
Planned Funds: $180,900
HQ Technical Area:
New/Continuing Activity: New Activity
Activity System ID: 18750
Activity Narrative: n/a
Funding Source: GHCS (State)
Program Area: Laboratory Infrastructure
Budget Code: HLAB
Program Area Code: 12
Mechanism ID: 8157.08
Mechanism:
DOD PMTCT/PC/TB/supplies/trainin g/LDF/record keeping
Prime Partner: US Department of Defense
USG Agency: Department of Defense
Activity ID: 19097.08
Planned Funds: $15,000
HQ Technical Area:
Activity System ID: 19097
Activity Narrative: Training
Table 3.3.12: Activities by Funding Mechansim
New/Continuing Activity: New Activity
Continuing Activity:
Related Activity:
Prime Partner:
American Society of Clinical Pathology
USG Agency:
HHS/Centers for Disease Control & Prevention
Funding Source: GHCS (State)
Program Area: Laboratory Infrastructure
Mechanism ID: 5950.08
Mechanism: Technical Assistance
Table 3.3.12: Activities by Funding Mechansim
New/Continuing Activity: Continuing Activity
Continuing Activity: 11987
Related Activity:
Activity System ID: 18589
Activity ID: 11987.08
Planned Funds: $200,000
Budget Code: HLAB
Program Area Code: 12
Activity Narrative: N/A
HQ Technical Area:
Continuned Associated Activity Information
Program Area Code:
13
Total Planned Funding for Program Area:
$1,191,000
Program Area:
Strategic Information
HVSI - Strategic Information
Budget Code:
HVSI
Total Planned Funding for Program Area:
$0
Estimated local PPP contribution in dollars
$0
Estimated PEPFAR contribution in dollars
$0
1
Program Area Context:
In FY08 USG Lesotho will continue activities just initiated with FY07 funds but would like to highlight the following as particular hallmarks of FY08 SI activities: 1. based on current indications and events to date, it is likely that Phones for Health will begin implementation activities in Lesotho, and 2. increased efforts will be placed on building the M&E capacity of the PEPFAR team itself as well as implementing partners.
Improving capacity to deliver high quality strategic information products is a priority under Lesotho's National HIV/AIDS Strategic Plan (2006-2011). The National HIV/AIDS M&E Plan (2006-2011) provides a well-conceived roadmap to meet information demands. In support of the Government of Lesotho's (GOL) efforts in this area, the USG HIV/AIDS Program in Lesotho has focused on the provision of technical assistance to M&E capacity building and "roadmap" implementation at the National AIDS Commission (NAC) including financial and technical support to the National Strategic Information Assessment (2005), formation of the national M&E work group, design and implementation of the National HIV program monitoring system (through PEPFAR Lesotho and central GFATM set aside funds), and support for selected national M&E information products including the 2005 National ANC-based HIV sentinel surveillance survey, 2004 Lesotho DHS (serological-survey and dissemination support), and assistance in the development of national HIV/AIDS indicators. The National Tuberculosis Control Program (NTP) has been especially weakened by a historic lack of reliable data to understand TB-HIV co-infection and to guide effective programming. Part of USG Lesotho's programmatic emphasis is on strengthening the TB/HIV program implementation (and continued GFATM funding) through building capacity within the NTP for sound data collection and data utilization. The planned FY07 targeted evaluation of referral systems in Lesotho was cancelled because of prolonged delays in obtaining approval from the GOL. USG Lesotho remains committed to a strong partnership, along with UNAIDS, to support the NAC and Ministry of Health and Social Welfare (MOHSW) in the delivery of national HIV/AIDS-related information products. Given the early stage of M&E systems development and severe M&E human resource crisis in Lesotho, it is important that USG Lesotho be prepared to fill gaps in function when they arise.
The following summarizes the strategic information challenges for FY 2008: 1.Strengthening the decentralized approach to M&E. Strengthening the district health management teams (DHMT) and District AIDS Councils, in their role of coordination amongst various players and management of data. 2.Improving data capture, data quality and timely data use within PEPFAR funded partners, and at the district and national levels. 3.Supporting a more integrated approach to HMIS (HIV and AIDS, TB, other health sector data) possibly through a "Phones for Health" partnership and collaboration with the Millennium Challenge Corporation (MCC). FY08 Activities
National Level Support: In 2007, the MOHSW reviewed its Health Management Information System (HMIS) with the support of the WHO Health Metrics Network and is currently in the process of updating the 2003 HMIS Strategic Plan. One of the major management challenges acknowledged by the MOHSW is the lack of timely health data to support informed decision-making, which is due in large part to the weak Information, Communication & Technology (ICT) infrastructure in the districts. In this context, the MOHSW expressed an interest in a "Phones for Health" partnership when presented by the PEPFAR team. Additionally, MCC is planning to fund ICT activities. The PEPFAR team is working to send the MOHSW personnel on a joint study tour with MCC personnel to observe Trac Net (a program which tracks commodities in addition to other monitoring) implementation in Rwanda. If the GOL decides to participate, an initial outreach and needs assessment will be undertaken and funded by OGAC.
With limited FY 2008 funds, the PEPFAR team will support a plan for country implementation, gathering details on system requirements, system design and partial configuration, and possible leveraging of MCC funds for a full "Phones-for-Health" deployment in Lesotho. A full roll out will include: 1) Completion of system configuration, 2) Definition of policies and procedures, 3) Infrastructure setup, 4) Negotiation of telecom billing arrangements, 5) Hardware deployment, 6) Training of users and administrators, 7) Initial system deployment, and 8) Support for system management and program management. Also, USG will provide limited support for surveillance and surveys activities by leveraging other donors' funds for the TA associated with the DHS+ planned in 2009 and providing TA to the MOHSW in writing protocols and conducting the ANC sentinel surveillance. The USG team will continue to provide technical assistance, training and other support to strengthen the integration of TB and HIV data through upgrading and implementing a reliable TB/HIV Management Information System (MIS) (ETR.Net) and focusing on timely production of high quality TB/HIV reports. The PEPFAR team through IntraHealth will continue to support Human Resources Information System (HRIS) activities through training of managers and policymakers from MOHSW, CHAL, Public Service, and training institutions on data driven decision making. Additionally, IntraHealth and Foundation for Professional Development (FPD) will provide TA to develop a Training Information Management System (TIMS) and train tutors and managers at health training institutions, regulatory councils and the training department of MOHSW to manage it and generate reports in order to rationalize intake of students into health training and immediately recruit and deploy graduates.
The SI Liaison, as a member of the National M&E TWG, will work with the NAC, MOHSW, Global Fund Coordinating Unit and UNAIDS develop a comprehensive review of the national response with attribution to donors using Service Coverage Reports (to be produced quarterly and annually) and mapping of implementing organizations. With FY 2008 funds activities will be implemented through a new M&E contract for South-Africa, Lesotho and Swaziland. This mechanism will 1) establishing a database to collect data (planning and reporting, including a Geographical Information System (GIS) component) for all the USG agencies implementing PEPFAR, 2) provide training workshops and ongoing support to PEPFAR partners in strategic information (SI) to monitor and improve programs and 3) will also support the national plan by mentoring District Health Management Teams (DHMTs) and district M&E officers, in collaboration with MCC decentralization advisors, to improve data capture, data quality and timely use of data. Additionally, the new M&E partner (TBD) will conduct regular data quality audits of partners for capacity building.
At the local and community level, Pact will continue to work with current and new sub-grantees/indigenous organizations in assessing and developing their Monitoring, Evaluation and Reporting capacity. Additionally, PACT will work with all sub-grantees in developing knowledge management processes and conduct data quality assessments. Facilitated by the SI liaison, the USG/PEPFAR team is in the process of putting systems in place to review partners' targets and set country targets. The USG/PEPFAR team will review partners' targets according to past trends based on available data, partner funding level, site information, and policy environment. The total USG/PEPFAR support targets will thus be set as a fraction of national targets. These numbers will be guided by the different levels of upstream support at national or district level provided by USG/Lesotho, using geographic coverage of the PEPFAR Program indirect outputs produced by PEPFAR funded partners.
In FY 2007, the PEPFAR team instituted a semi-annual progress report for all PEPFAR funded partners and agencies. This was a very useful exercise which highlighted the weakness of the PEPFAR Lesotho reporting system and paves the way for improvement. In FY 2008, the USG/ PEPFAR team plans to institute simple quarterly reports (relevant indicator data and a short narrative describing the data) for several reasons: capacity building, improved data quality and enhanced program monitoring; the GOL, NAC and GFATM are also requesting quarterly reports. The SI Liaison will analyze data in terms of progress towards targets and proactively identify possible problem areas in data quality. Feedback to partners individually and at the TWG level. To oversee all these activities, the PEPFAR team has a part-time CDC employee and plans to have one CDC employee fully dedicated to SI-related functions with some support in database management from a future program assistant.
Products
District data managers and NAC staff trained in M&E and data utilization; Institute regular submission of Quarterly Service Coverage Reports; ANC surveillance completion; documentation of Lesotho health operations (governance and management structures, business practices and work flows); DHS survey scheduled launch in 2009; Data driven decision making curricula development to improve recruitment, deployment and retention of health workers; and TIMS development to reduce vacancies and speed absorption of graduates, to address out-migration issues and improve management of tutors and students.
Program Area Downstream Targets:
13.2 Number of individuals trained in strategic information (includes M&E, surveillance, and/or HMIS)
162
13.1 Number of local organizations provided with technical assistance for strategic information activities
29
Custom Targets:
Activity ID: 11993.08
Planned Funds: $300,000
Budget Code: HVSI
Program Area Code: 13
Activity Narrative: N/A
Activity System ID: 18606
Funding Source: GHCS (USAID)
Program Area: Strategic Information
Table 3.3.13: Activities by Funding Mechansim
Prime Partner: John Snow, Inc.
USG Agency:
U.S. Agency for International Development
Mechanism ID: 11810.08
Mechanism:
Enhancing Strategic Information
HQ Technical Area:
Continuing Activity: 11993
New/Continuing Activity: Continuing Activity
Related Activity:
Continuned Associated Activity Information
Development
Table 3.3.13: Activities by Funding Mechansim
New/Continuing Activity: New Activity
HQ Technical Area:
Activity Narrative: n/a
Continuing Activity:
Related Activity:
Activity System ID: 18756
Mechanism ID: 5965.08
Mechanism:
Southern Africa Human Capacity Development Coalition
Prime Partner: IntraHealth International, Inc
USG Agency:
U.S. Agency for International Development
Activity ID: 18756.08
Planned Funds: $100,000
Budget Code: HVSI
Program Area Code: 13
Funding Source: GHCS (USAID)
Program Area: Strategic Information
Table 3.3.13: Activities by Funding Mechansim
Related Activity:
Continuing Activity:
New/Continuing Activity: New Activity
Budget Code: HVSI
Program Area Code: 13
Funding Source: GHCS (State)
Program Area: Strategic Information
Prime Partner: Research Triangle Institute
USG Agency: Department of Defense
Activity ID: 19127.08
Planned Funds: $55,000
HQ Technical Area:
Activity Narrative: n/a
Activity System ID: 19127
Mechanism ID: 8357.08
Mechanism: LDF survey
Table 3.3.13: Activities by Funding Mechansim
Funding Source: GHCS (USAID)
Program Area: Strategic Information
Prime Partner: Pact, Inc.
USG Agency:
U.S. Agency for International Development
Mechanism ID: 5961.08
Mechanism: PACT-APS Grantee
Activity System ID:
19084 19084.08
Activity ID:
Planned Funds: $311,000
Budget Code: HVSI
Program Area Code: 13
Related Activity:
Continuing Activity:
Activity Narrative: n/a
HQ Technical Area:
New/Continuing Activity: New Activity
Table 3.3.13: Activities by Funding Mechansim
Budget Code: HVSI
Program Area Code: 13
Prime Partner: US Department of Defense
USG Agency: Department of Defense
Funding Source: GHCS (State)
Program Area: Strategic Information
Activity ID: 19098.08
Planned Funds: $70,000
Activity System ID: 19098
Mechanism ID: 8157.08
Mechanism:
DOD PMTCT/PC/TB/supplies/trainin g/LDF/record keeping
New/Continuing Activity: New Activity
HQ Technical Area:
Activity Narrative: Medical Record Keeping System (military specific HMIS software)
Continuing Activity:
Related Activity:
Table 3.3.13: Activities by Funding Mechansim
Mechanism ID: 8203.08
Related Activity:
Continuing Activity:
New/Continuing Activity: New Activity
Budget Code: HVSI
Funding Source: GAP
Prime Partner:
US Centers for Disease Control and Prevention
Activity ID: 19081.08
HQ Technical Area:
Activity Narrative: CDC Tech. Prog. Sp. Salary and benefits
Activity System ID: 19081
Mechanism:
CDC Chief of Party and Technical Program Specialist salaries and benefits
Program Area Code: 13
Program Area: Strategic Information
USG Agency:
HHS/Centers for Disease Control & Prevention
Planned Funds: $100,000
Budget Code:
OHPS
Program Area:
Other/Policy Analysis and System Strengthening
OHPS - Other/Policy Analysis and Sys Strengthening
Program Area Code:
14
Estimated local PPP contribution in dollars
$0
Estimated PEPFAR contribution in dollars
$0
Total Planned Funding for Program Area:
$1,526,000
Total Planned Funding for Program Area:
$0
1
Program Area Context:
The human resource crisis within the health sector in Lesotho has exceeded the HIV/AIDS and TB crisis. Three-hundred percent more nurses are required to respond to the burden of HIV disease, but nursing coverage decreased by 15% from 1992-2002. There are only 20.9 health workers available per 1,000 people in need of ART, with burn out and migration on the rise. Lesotho has a MOHSW Human Resources (HR) Strategic Plan, an HR Directorate and in 2007 developed an Emergency Human Resource Plan for the country. Implementation and finalization of these policies has been hampered by lack of supporting HRIS data, lack of advocacy skills to influence cabinet for changes in legislation, and weak leadership in the HR Directorate. The National Health Training College (NHTC), National University of Lesotho (NUL) and Christian Health Association of Lesotho (CHAL) are the primary training institutions for health workers in Lesotho. Currently these institutions produce a limited number of graduates to meet the demand for nurses in the country. Community health workers (CHW) and other voluntary cadres are contributing significantly to HIV services, especially in the areas of OVC, palliative care and treatment adherence programs. The MOHSW has been voicing the need to strengthen the training, support, and supervision of this volunteer cadre in Lesotho.
The PEPFAR program in Lesotho began with significant investments in human resources for health at the national level, along with Irish Aid, Global Fund, African Development Bank and MCC and indigenous organizations. PEPFAR/Lesotho supported the due diligence process for the Millennium Challenge Corporation (MCC) implementation and helped lay the foundation for the follow-on work for human resource development for future MCC activities. The Emergency Human Resources for Health (HRH) Task Force was reinstated in FY07 through USG (PEPFAR and MCC) advocacy. MCC required the MOHSW to address a comprehensive response to the human resource crisis within the health sector.
Activities for FY2008 will continue the work begun in FY07 and will grow programs to address policy and system strengthening. The USG (PEPFAR and MCC) is well-poised for collaboration between PEPFAR and MCC on HRH programs in 2008 and will support strengthening HR management systems; developing capacity of health managers in leadership and management; continuing to develop HIV/AIDS workplace programs for public sector employees; revising current recruitment procedures to streamline the process; and developing policies for bonding, retaining, and posting health workers. Support will be given to the MOHSW and NGOs to develop a standardized supervisory system for community health workers, to strengthen pre-service and in -service training strategies related to HIV/AIDS and to expand the capacity for pre-service training through recruitment and placement of health tutors at NHTC and CHAL.
The HCD Coalition in Lesotho is made up of 8 partners: IntraHealth, Management Sciences for Health (MSH), Foundation for Professional Development (FPD), Council of Health Service Accreditation of Southern Africa (COHSASA), The Eastern, Central, and Southern African (ECSA) Health Community, Training Resource Group and Institute for Development of Management (IDM). The Coalition will assist the MOHSW in improving the quality of HIV/AIDS service delivery through implementation of a QI process, which emphasizes empowerment of local health teams and problem solving. With input from baseline work, COHSASA will work with MOHSW and CHAL QI teams through on-site facilitation and mentoring to develop and implement action plans to address HIV management and service delivery gaps. The Coalition will explore partnering with ICAP, EGPAF, Boston Lesotho Health Alliance, and MSF to implement the QI program within facilities where these agencies are working.
Focusing on strengthening the MOHSW HR management (HRM) systems, MSH will facilitate Leadership Dialogues among Ministries of Health, Public Service, Finance, Local Government, CHAL, training institutions and development partners to address the bottlenecks in implementation of the HR Strategic Plan. MSH will expand its HRM assessments and action plan development activities to MOHSW and CHAL facilities, as well as National Drug Supply Organization (NDSO) in collaboration with RPM+, Clinton Foundation, and possibly SCMS to help NDSO develop a strategic plan. Once the decentralized MOHSW structure is approved, the Coalition will assist the MOHSW to review job functions to ensure they are in line with decentralization. MSH with IDM will initiate the Leadership Development Program to train and mentor teams from NDSO and selected MOHSW and CHAL health facility teams to resolve HIV/AIDS service delivery bottlenecks. FPD will second a placement coordinator to the MOHSW to build capacity of HR staff and ensure the placement process is being effectively and efficiently carried out. ECSA will continue collaborating with ILO/USDOL to support the MOHSW in piloting HIV/AIDS workplace programs. Based on findings from the FY07 needs assessment, ECSA will assist selected district hospitals in developing tailored workplace programs, which may include psychosocial peer support, increasing provider access to counseling, testing and treatment, and stigma reduction.
Georgetown University and FPD will assist the MOHSW to develop pre-service and in-service training strategies and a continuing education program for HIV/AIDS. FPD will work with Georgetown to develop a clinical preceptorship program and with Clinton Foundation to assist MOHSW in institutionalizing a national nurse mentorship program. The Coalition will work with CDC to identify an organization to provide TA to the National Health Training College to strengthen pre-service laboratory training. The Coalition will collaborate with MSF and PSI to support task shifting to expand capacity for HIV/AIDS service delivery of nursing assistants and ward assistants, including policy development, advocacy, revision of job descriptions, and strengthening management and support systems. Georgetown will also mentor a cadre of 18 nurse tutors to strengthen their leadership skills to plan, advocate and secure all necessary ingredients to graduate nurses at NUL and also provide leadership training to identified managers and clinical nurse potential leaders at the CHAL hospitals. The Georgetown team, and its partners including the US Association of Nurses in AIDS Care (ANAC) have and will collaborate with key Lesotho stakeholders such as the University, the Nurses Association and other partners currently working in nurse development. Finally, in collaboration with Lesotho-Boston Health Alliance, CARE, Red Cross, and other NGOs/PACT sub-grantees, IntraHealth will assist the MOHSW to develop a standardized supervisory system for community health workers, including the revision of job descriptions for supervisors, development of supervisory checklists and procedures, and training of supervisors.
Pact leads institutional capacity building of small community-based organizations to increase grantees' effectiveness to achieve expanded, high quality services and strengthen financial management, strategic planning, and monitoring and reporting systems. Pact will assess/reassess partner programs and work with each partner to develop a tailored plan for a phased capacity building agenda based upon the results of the reassessments. Pact will also support the provision of technical assistance from selected regional and international partners for local partners to assist them in expanding their organizational capacity.
Training is a component of all the USG activities, however USG will continue to avoid duplication by cross-partner streamlining of in-service training and finalizing national curricula. These programs are increasing skills of providers trained in PMTCT, infant and young child feeding, ART, HIV management, TB, HCT, palliative care, treatment adherence, pharmaceutical management, lab, HR management and overall public sector management. Private funding through ESKOM OPEC will be used for sponsoring government participants in several trainings and linking to training programs sponsored through South Africa's PEPFAR program. USG will also be assisting the MOHSW to improve the roll-out of training under KYS to lay counselors and "community carers" (see HVCT). The DOD aims at training military policy makers, HIV project coordinators and members of the HIV/AIDS team, all of whom facilitate HIV/AIDS program development.
The USG will help businesses to strengthen HIV and AIDS workplace policies and programs, and to integrate effective prevention into comprehensive AIDS services for employees (see HVOP). DOL/ILO will continue its support for the enforcement of a national HIVAIDS workforce policy, based on the new law on HIV and AIDS and the world of work and priorities in the National HIV Strategy that includes undertaking HIV/AIDS workplace surveys. National bodies such as employers and workers organizations and the Ministry of Employment will be trained to develop and update national HIV and AIDS policy to be in line with latest developments. DOL/ILO will continue to assist enterprises in the development of workplace polices. Prevention and other HIV/AIDS workplace programs using peer educators, HIV/AIDS committees, and management and workers representatives will continue in order to ensure sustainability.
Products
HRIS training curriculum, workforce policy, supervision protocols, quality improvement toolkit, human resources guidelines, HR database, national training curriculum.
Program Area Downstream Targets:
Custom Targets:
Table 3.3.14: Activities by Funding Mechansim
Mechanism ID: 8209.08
Prime Partner: US Department of State
Funding Source: GHCS (State)
Mechanism:
ICASS services, resident bldg. ops. & local costs, driver, AA, PA salaries and benefits, small grants, Sec. travel
USG Agency:
Department of State / African Affairs
Program Area: Other/Policy Analysis and
System Strengthening
Activity System ID: 19104
Activity Narrative: n/a
Budget Code: OHPS
Program Area Code: 14
Activity ID: 19104.08
Planned Funds: $75,000
HQ Technical Area:
Related Activity:
New/Continuing Activity: New Activity
Continuing Activity:
Table 3.3.14: Activities by Funding Mechansim
Mechanism ID: 5954.08
Mechanism: Nursing Capacity Building
Prime Partner: Georgetown University
USG Agency:
HHS/Health Resources Services Administration
Activity ID: 18678.08
Planned Funds: $100,000
Activity System ID: 18678
Funding Source: GHCS (State)
Program Area:
Other/Policy Analysis and System Strengthening
Budget Code: OHPS
Program Area Code: 14
Activity Narrative: n/a
Continuing Activity:
Related Activity:
HQ Technical Area:
New/Continuing Activity: New Activity
Related Activity:
Budget Code: OHPS
Program Area Code: 14
Activity ID: 19085.08
Planned Funds: $240,000
Prime Partner: Pact, Inc.
USG Agency:
U.S. Agency for International Development
Funding Source: GHCS (USAID)
Program Area:
Other/Policy Analysis and System Strengthening
Activity System ID: 19085
New/Continuing Activity: New Activity
Continuing Activity:
Activity Narrative: n/a
HQ Technical Area:
Mechanism ID: 5961.08
Mechanism: PACT-APS Grantee
Table 3.3.14: Activities by Funding Mechansim
Table 3.3.14: Activities by Funding Mechansim
Funding Source: GHCS (USAID)
Program Area:
Other/Policy Analysis and System Strengthening
Budget Code: OHPS
Program Area Code: 14
Mechanism ID: 5961.08
Mechanism: PACT-APS Grantee
Prime Partner: Pact, Inc.
USG Agency:
U.S. Agency for International Development
Activity Narrative: n/a
HQ Technical Area:
Activity ID: 19086.08
Planned Funds: $50,000
Activity System ID: 19086
New/Continuing Activity: New Activity
Continuing Activity:
Related Activity:
HQ Technical Area:
New/Continuing Activity: New Activity
Activity System ID: 18757
Activity Narrative: n/a
Continuing Activity:
Related Activity:
Table 3.3.14: Activities by Funding Mechansim
Mechanism ID: 5965.08
Mechanism:
Southern Africa Human Capacity Development Coalition
Budget Code: OHPS
Program Area Code: 14
Activity ID: 18757.08
Planned Funds: $880,000
Prime Partner: IntraHealth International, Inc
USG Agency:
U.S. Agency for International Development
Funding Source: GHCS (USAID)
Program Area:
Other/Policy Analysis and System Strengthening
Mechanism: DOD
PMTCT/PC/TB/supplies/trainin g/LDF/record keeping
Related Activity:
Continuing Activity:
New/Continuing Activity: New Activity
Budget Code: OHPS
Program Area Code: 14
Funding Source: GHCS (State)
Program Area:
Other/Policy Analysis and System Strengthening
Prime Partner: US Department of Defense
USG Agency: Department of Defense
Activity ID: 19099.08
Planned Funds: $10,000
HQ Technical Area:
Activity Narrative: LDF Policy
Activity System ID: 19099
Table 3.3.14: Activities by Funding Mechansim
Related Activity:
Continuing Activity:
Activity ID: 18768.08
Planned Funds: $91,000
Budget Code: OHPS
Program Area Code: 14
Funding Source: GHCS (USAID)
Program Area:
Other/Policy Analysis and System Strengthening
Activity System ID: 18768
New/Continuing Activity: New Activity
HQ Technical Area:
Activity Narrative: n/a
Prime Partner:
US Agency for International Development
USG Agency:
U.S. Agency for International Development
Mechanism ID: 8232.08
Mechanism:
USAID Prog. Manager and Program Specialist salaries and benefits
Table 3.3.14: Activities by Funding Mechansim
Mechanism ID: 5940.08
Mechanism: HIV/AIDS Workplace
Education Program
Budget Code: OHPS
Program Area Code: 14
Funding Source: GHCS (State)
Program Area:
Other/Policy Analysis and System Strengthening
Prime Partner:
International Labor Organization
USG Agency: Department of Labor
Activity Narrative: N/A
Activity System ID: 18595
Activity ID: 11995.08
Planned Funds: $80,000
HQ Technical Area:
Related Activity: Continuing Activity: 11995 New/Continuing Activity: Continuing Activity
Continuned Associated Activity Information
HVMS - Management and Staffing
Budget Code:
HVMS
Program Area:
Management and Staffing
Program Area Code:
15
Total Planned Funding for Program Area:
$2,554,411
Total Planned Funding for Program Area:
$0
Estimated local PPP contribution in dollars
Estimated PEPFAR contribution in dollars
$0 $0
1
Program Area Context:
In FY2007, as per the recommendations of the PEPFAR "Under Principals" or "UPs", the Lesotho USG Task Force began implementing a transition plan to create a fully fledged in-country PEPFAR program. The program had traditionally been managed by the USAID Regional HIV/AIDS Program (RHAP) and the CDC Southern Africa Regional Aids Program (SARAP) based in Pretoria, South Africa.
The staffing transition plan involves converting the EP Coordinator and CDC-funded SI Liaison/Technical & Program Manager positions from contract to PSC or direct hire positions; converting the Administrative Assistant position to the DOS and hiring an additional DOS supported Program Assistant; hiring a USAID PSC as the USAID Program Manager and a USAID-supported FSN as the USAID Program Specialist; and hiring a CDC Direct Hire Chief of Party. The recruitment/conversion process for the above has taken considerably longer than originally predicted. USAID has therefore placed an Interim USAID Program Manager incountry to manage the USAID portfolio and support the PEPFAR team. The Interim USAID Program Manger will continue to support the team in-country until the end of 2007 when the permanent Program Manager is expected to come on board.
At the same time the renovations to the Embassy warehouse, which is to become the new PEPFAR Office (in keeping with the DOS security requirements), is also taking longer than expected, and it is possible that the office space will not be available until mid-2008. The PEPFAR Team will therefore remain in commercial office space and the EP Coordinator and the CDC Technical and Program Manager will not transfer to PSC/Direct Hire status until appropriate space is available. In January 2008 the team will move into alternative, temporary office space. The CDC Chief of Party is in-country as of September 2007 and has been assigned temporary office space at the Embassy.
The USAID FSN Program Specialist position and the DOS supported Program Assistant positions will be recruited by the DOS either when suitable temporary office space is available in early 2008 or upon completion of the warehouse renovations in sometime in 2008.
Since the placement of in-country staff has taken longer than expected, the USAID Regional office is still providing some activity management and technical support to the Lesotho PEPFAR Team, although this will decrease gradually in FY2008. In the coming
year, RHAP will support the new USAID staff on an as needed basis as they become oriented to the program, and will continue to provide budgetary and contracting support for both Washington-based field support and local regional awards, as well as
managing the EP Coordinator and USAID Program Manager contracts. The Lesotho PEPFAR Team will also buy into the
Regional Technical Prevention Advisor position to provide technical assistance to the program. This position is reflected in the prevention technical area budget and narrative.
DOD will recruit a PEPFAR Lesotho program manager who will have primary responsibility for management and implementation of the HIV/AIDS programs conducted with the Lesotho Defense Force (LDF). The DOD/PEPFAR program manager's office will be sited at the LDF Makoanyane Military Hospital however they will work with and participate in the Lesotho PEPFAR Task Force. The DOD Program Manager will receive support and guidance from the Office of Defense Cooperation (ODC) in Pretoria and from the DOD HIV/AIDS Prevention Program in San Diego. The Peace Corps will also recruit a full time PEPFAR Assistant to help manage the Peace Corps PEPFAR Portfolio. DOL and HRSA will therefore be the only USG agencies with in-country programs but without in-country USG staff and will continue to liaise with the Task Force via Washington-based staff. Two additional PEPFAR-funded positions have been added with FY08 funds: 1.) a CDC Lab Advisor, and a driver whose time will be 100% devoted to the PEPFAR Program. With the building of a new national laboratory funded by MCC, scaled up national HCT and TB programs, and constantly increasing numbers of patients on ARVs, the need for a full-time, in-country Lab Advisor has become increasingly evident.
As in FY 2007, the PEPFAR staffing will be funded as follows:
1) Local support costs for the Direct Hire/PSC and FSN employees will be administered by the Embassy ICASS Staff.
2) State will fund office-related costs for all PEPFAR staff, all costs for the EP Coordinator other than salaries/benefits/assignment travel (funded by USAID/RHAP serving as the contracting office), and all costs for the Program Assistant, Administrative Assistant, and driver.
3) CDC will fund salaries/benefits, all travel, and all non-office-related costs for its Chief of Party (funding is reflected in TB/HIV, CT and M&S program areas), the Strategic Information Liaison (whose funding is reflected in the SI and M & S program areas), and an in-country Lab Advisor (funding under lab).
4) USAID will fund salaries/benefits, all travel, and all non-office-related costs for its PSC and FSN employees (one each). Funding for the FSN Program Specialist is reflected in the Prevention AB and Condoms and Other Prevention budget and narratives.
The overall oversight and management body for the entire PEPFAR program remains the USG HIV/AIDS Task Force (TF) for Lesotho. While the Ambassador is the head of the Task Force, meetings are generally convened and chaired by the Coordinator. Each Agency with active programs in Lesotho is represented on the Task Force. Management of program partners, PEPFAR program planning, and management and provision of technical assistance is organized around four main technical management areas: Prevention, Care and Treatment, SI and HCD. USAID leads the Prevention and HCD technical areas, while CDC leads the SI and Care and Treatment technical areas. Cross agency management issues and Staffing for Results have been a major topic of thought and discussion by the Task Force over the past year. While the concept has already been agreed upon by the Task Force, effective implementation of the model is dependent upon the presence of the full complement of permanent in-country staff. In an effort to decrease confusion and allow for innovation of the model, the terms "Program Officer" and "Administrative Officer" have replaced Activity Manager and Technical Advisor as main PEPFAR points of contact for partners. Close collaboration among agencies and partners, standardization of all work plan and reporting tools across agencies and routinized strategic technical meetings with other national and USG stakeholders has been a challenge to implement.
Three other recommendations of the October 2006 visit of the "UPs" also bear mentioning.
1."Focus program on a few priorities" and "consolidate management units": Given the on-going challenges in getting full staff on board, the TF is fully cognizant of and struggling with these issues. While the four program priorities are clear, the issue of procurement & supply chain management has also become an increased source of concern (& hence funding) for the TF. With FY08 funds, agency co-funding of the same organizations will decrease, and there will only be one umbrella grant. Four implementing partners who had FY07 funding will not get funding in FY08, but one has been added. 2."The USG team should consult often with the GOL to assure common understanding of the PEPFAR program and assure close collaboration and support". The February 2007 changes in personnel at high levels in the MOHSW have provided an opportunity for increased and conscientious efforts to keep senior level officials in the MOHSW apprised of the PEPFAR program and planning processes. These include formal presentation of the FY07 mini-COP to senior ministry, formal presentation of the FY07 mini-COP to the National AIDS Commission, a decision to regularize meetings between the Director General, the Health Planning & Statistics Unit, the PEPFAR Coordinator, and the heads of the USAID and CDC programs, and the first meeting co-chaired by the MOHSW and PEPFAR that included multiple senior MOHSW officials and all implementing partners. Efforts to formalize these meetings, institute regular reporting, and increase financial transparency will continue. 3."RHAP and SARAP should identify one individual to serve as a primary member and one as a back-up – these should be the only and consistent reps." Although this is still a work in progress, the arrivals of the USAID Interim Program Manager and the CDC Chief of Party in Lesotho will enable the implementation of this recommendation.
The M & S budget was prepared with full participation of Embassy Maseru, USAID, and CDC.
Budget Justification
The percentage of the budget occupied by M & S costs has not yet satisfactorily decreased, but it has come down from nearly 21% to about 17% because of the decrease in one-off costs that were incurred in the FY07 mini-COP by the transition from region to in-country, and because some of these costs have been appropriately integrated into the other program areas. The high M & S costs in the budget are most simply put a reflection of the "cost of doing business" in Lesotho. Also, two additional PEPFARfunded staff have been added to the M & S costs: an in-country Lab Technical Advisor and a driver. One-time costs for the Lab Advisor such as security and other housing upgrades, or installation of water tanks and generators come to almost $100,000. Also, given the relative smallness of the overall U.S. Mission in Lesotho, ICASS costs are among the most expensive in the world. Similarly, the capital security cost sharing line item consumes a large portion of these M & S costs.
Program Area Downstream Targets:
Custom Targets:
Table 3.3.15: Activities by Funding Mechansim
HQ Technical Area:
Activity Narrative:
These funds will cover ICASS services (includes information technology, health services, non-residential guards, the Community Liaison Office functions, general services, financial management, overhead, phone lines, personnel services), resident building operations and non-ICASS local costs (rent, general maintenance, phone, water, electricity, security and miscellaneous charges for teh PEPFAR Coordinator.
Activity System ID: 18682
New/Continuing Activity: New Activity
Related Activity:
Continuing Activity:
Mechanism ID: 8209.08
Mechanism:
ICASS services, resident bldg. ops. & local costs, driver, AA, PA salaries and benefits, small grants, Sec. travel
Prime Partner: US Department of State
USG Agency:
Department of State / African Affairs
Activity ID: 18682.08
Planned Funds: $115,015
Budget Code: HVMS
Program Area Code: 15
Funding Source: GHCS (State)
Program Area: Management and Staffing
Table 3.3.15: Activities by Funding Mechansim
Related Activity:
Continuing Activity:
New/Continuing Activity: New Activity
HQ Technical Area:
Funding Source: GHCS (USAID)
Program Area: Management and Staffing
Prime Partner: US Department of State
USG Agency:
U.S. Agency for International Development
Mechanism ID: 8211.08
Mechanism:
Capital security costs, ICASS services
Budget Code: HVMS
Program Area Code: 15
Activity Narrative:
This figure covers the Capital Security Cost Sharing item for seven staff ($16, 391 per person) in non- controlled access area offices plus one driver in a non-office space ($2837).
Activity System ID: 18684
Activity ID: 18684.08
Planned Funds: $118,000
New/Continuing Activity: New Activity
HQ Technical Area:
Activity Narrative: These funds cover the salary and benefits of the PEPFAR Coordinator.
Continuing Activity:
Related Activity:
Activity System ID: 18686
Mechanism ID: 8213.08
Mechanism:
PEPFAR Coordinator salary and benefits
Table 3.3.15: Activities by Funding Mechansim
Prime Partner: US Agency for International
Development
USG Agency:
U.S. Agency for International Development
Activity ID: 18686.08
Planned Funds: $191,000
Budget Code: HVMS
Program Area Code: 15
Funding Source: GHCS (State)
Program Area: Management and Staffing
Table 3.3.15: Activities by Funding Mechansim
Related Activity:
Continuing Activity: 12012
New/Continuing Activity: Continuing Activity
Budget Code: HVMS
Program Area Code: 15
Funding Source: GAP
Program Area: Management and Staffing
Prime Partner: US Centers for Disease
Control and Prevention
USG Agency:
HHS/Centers for Disease Control & Prevention
Activity ID: 12012.08
Planned Funds: $250,000
HQ Technical Area:
Activity Narrative:
This item will pay for 60% of the salary and benefits for the CDC Chief of Party, the other portion of which is covered in the TB/HIV program area and will pay for 50% of the salary and benefits of the CDC Technical Program Specialist/SI Liaison, the other half of which will be covered in the strategic Information program area.”
Activity System ID: 18673
Mechanism ID: 8203.08
Mechanism:
CDC Chief of Party and Technical Program Specialist salaries and benefits
Continuned Associated Activity Information
Prevention and Prevention
Table 3.3.15: Activities by Funding Mechansim
Funding Source: GHCS (State)
Program Area: Management and Staffing
Prime Partner: US Department of State
USG Agency:
HHS/Centers for Disease Control & Prevention
Budget Code: HVMS
Program Area Code: 15
Activity System ID: 18608
Activity ID: 12013.08
Planned Funds: $115,014
Mechanism ID: 6085.08
Mechanism:
ICASS Services, Residence Bldg ops. & local costs non ICASS for CDC CP, lab manager, tech program support
Activity Narrative: Remainder of ICASS costs for the CDC Program Director and CDC Technical and Program Manager.
Added FY08 COP entry:
These funds will cover ICASS services (includes information technology, health services, non residential guards, the Community Liaison Office functions, general services, financial management, overhead, phone lines, personnel services), resident building operations and non-ICASS local costs (rent, general maintenance, phone, water, electricity, security adn miscellaneous direct charges) for the CDC Chief of Party.
New/Continuing Activity: Continuing Activity
HQ Technical Area:
Continuing Activity: 12013
Related Activity:
Continuned Associated Activity Information
Table 3.3.15: Activities by Funding Mechansim
Budget Code: HVMS
Program Area Code: 15
Funding Source: GHCS (State)
Program Area: Management and Staffing
Activity ID: 25090.08
Planned Funds: $350,000
Activity Narrative: N/A
Activity System ID: 25090
Prime Partner:
US Centers for Disease Control and Prevention
USG Agency:
HHS/Centers for Disease Control & Prevention
Mechanism ID: 10661.08
Mechanism: N/A
HQ Technical Area:
Continuing Activity:
New/Continuing Activity: New Activity
Table 3.3.15: Activities by Funding Mechansim
Prime Partner:
US Agency for International Development
USG Agency:
U.S. Agency for International Development
Funding Source: GHCS (State)
Program Area: Management and Staffing
Mechanism ID: 9313.08
Mechanism: USAID HCD Advisor and
Contracts PA
Activity System ID: 21441
Activity Narrative:
Funds to hire 1 PSC and 2 FSNs to cover 2 technical (HCD, OVC/Care) and 1 program assistant (contracts) positions.
Budget Code: HVMS
Program Area Code: 15
Activity ID: 21441.08
Planned Funds: $590,000
Continuing Activity:
Related Activity:
HQ Technical Area:
New/Continuing Activity: New Activity
Activity Narrative: Funds to hire part-time Peace Corps PEPFAR Coordinator with FY 2008 Compact funds.
HQ Technical Area:
Activity ID: 21435.08
Planned Funds: $50,000
Activity System ID: 21435
Related Activity:
New/Continuing Activity: New Activity
Continuing Activity:
Table 3.3.15: Activities by Funding Mechansim
Funding Source: GHCS (State)
Program Area: Management and Staffing
Budget Code: HVMS
Program Area Code: 15
Mechanism ID: 9314.08
Mechanism: Peace Corps PEPFAR
Coordinator
Prime Partner: US Peace Corps
USG Agency: Peace Corps
Continuing Activity:
New/Continuing Activity: New Activity
HQ Technical Area:
Related Activity:
Funding Source: GHCS (State)
Program Area: Management and Staffing
Prime Partner: US Department of State
USG Agency:
HHS/Centers for Disease Control & Prevention
Mechanism ID: 6085.08
Mechanism: ICASS Services, Residence
Bldg ops. & local costs non ICASS for CDC CP, lab manager, tech program support
Budget Code: HVMS
Program Area Code: 15
Activity Narrative:
These funds will cover ICASS services (includes information technology, health, services, non-residentail guards, the Community Liaison Office functions, general services, financial management, overhead, phonelines, personnel services), resident buiding operations and non-ICASS local costs (rent, general maintenance, phone, water, electricity, security, and miscellaneous direct charges) for the CDC Technical Program Specialist/SI Liaison.
Activity System ID: 19103
Activity ID: 19103.08
Planned Funds: $115,015
Related Activity:
Continuing Activity:
Activity ID: 19106.08
Planned Funds: $92,500
Budget Code: HVMS
Program Area Code: 15
Funding Source: GHCS (State)
Program Area: Management and Staffing
Activity System ID: 19106
New/Continuing Activity: New Activity
HQ Technical Area:
Activity Narrative:
This item covers teh salary and all the benefits for the PEPFAR Program Assistant, the Administrative Assistant and a driver.
Prime Partner: US Department of State
USG Agency:
Department of State / African Affairs
Mechanism ID: 8209.08
Mechanism:
ICASS services, resident bldg. ops. & local costs, driver, AA, PA salaries and benefits, small grants, Sec. travel
Table 3.3.15: Activities by Funding Mechansim
Mechanism:
ICASS services, resident bldg. ops. & local costs, driver, AA, PA salaries and benefits, small grants, Sec. travel
Related Activity:
Continuing Activity:
New/Continuing Activity: New Activity
Budget Code: HVMS
Program Area Code: 15
Funding Source: GHCS (State)
Program Area: Management and Staffing
Prime Partner: US Department of State
USG Agency:
Department of State / African Affairs
Activity ID: 19107.08
Planned Funds: $6,500
HQ Technical Area:
Activity Narrative:
These are the shared costs for the actual office space at the US Embassy that will be occupied by eight PEPFAR staff.
Activity System ID: 19107
Related Activity:
Continuing Activity:
Activity ID: 19102.08
Planned Funds: $210,014
Budget Code: HVMS
Program Area Code: 15
Funding Source: GHCS (State)
Program Area: Management and Staffing
Activity System ID: 19102
New/Continuing Activity: New Activity
HQ Technical Area:
Activity Narrative:
These funds will cover ICASS services (includes information technology, health services, non residential guards, the Community Liaison Office functions, general services, financial management, overhead, phone lines, personnel services), resident building operations and non-ICASS local costs (rent, general maintenance, phone, water, electricity, security, and miscellaneous direct charges) for the CDC Laboratory Technical Assistant as well as $95,000 for one time costs such as a water tank, generator, electrical upgrade, security upgrade, adn possible housing renovation(s).
Prime Partner: US Department of State
USG Agency:
HHS/Centers for Disease Control & Prevention
Mechanism ID: 6085.08
Mechanism:
ICASS Services, Residence Bldg ops. & local costs non ICASS for CDC CP, lab manager, tech program support
Table 3.3.15: Activities by Funding Mechansim
Table 3.3.15: Activities by Funding Mechansim
Mechanism ID: 8206.08
Mechanism: VAST grants
Budget Code: HVMS
Program Area Code: 15
Funding Source: GHCS (State)
Program Area: Management and Staffing
Prime Partner: US Peace Corps
USG Agency: Peace Corps
Activity ID: 19101.08
Planned Funds: $12,000
HQ Technical Area:
New/Continuing Activity: New Activity
Activity System ID: 19101
Activity Narrative: This figure will cover the salary and benefits of one locally hired PEPFAR Assistant for Peace Corps.
Continuing Activity: Related Activity:
Table 3.3.15: Activities by Funding Mechansim
Prime Partner: US Department of State
USG Agency:
U.S. Agency for International Development
Funding Source: GHCS (USAID)
Program Area: Management and Staffing
Mechanism ID: 8356.08
Mechanism:
ICASS services for USAID Prog. Manager and Program Specialist
Activity System ID: 19125
Activity Narrative: n/a
Budget Code: HVMS
Program Area Code: 15
Activity ID: 19125.08
Planned Funds: $136,622
HQ Technical Area:
Related Activity:
New/Continuing Activity: New Activity
Continuing Activity:
Table 3.3.15: Activities by Funding Mechansim
Activity ID: 19105.08
Planned Funds: $50,000
Funding Source: GHCS (State)
Program Area: Management and Staffing
Budget Code: HVMS
Program Area Code: 15
Prime Partner: US Department of State
USG Agency:
Department of State / African Affairs
Mechanism ID: 8209.08
Mechanism:
ICASS services, resident bldg. ops. & local costs, driver, AA, PA salaries and benefits, small grants, Sec. travel
Activity System ID: 19105
Activity Narrative:
This items will fund the PEPFAR Secretariat (Coordinator, SI Liaison, Program Assistant, and Administrative Assistant) which, with the permission of the Task Force, will fund travel to conferences, workshops for Government or other counterparts, representational events, some travel for the PEPFAR Personal Services Contractors, meetings of PEPFAR implementing partners and the Government, and unanticipated costs of workshops that PEPFAR is asked to cover either by the Government, the National AIDS Commission, or the Global Fund Coordinating Unit. Some of these funds may also be used to support a PEPFAR Lesotho web site.
HQ Technical Area:
New/Continuing Activity: New Activity
Continuing Activity:
Related Activity:
Table 3.3.15: Activities by Funding Mechansim
Mechanism ID: 8209.08
Mechanism:
ICASS services, resident bldg. ops. & local costs, driver, AA, PA salaries and benefits, small grants, Sec. travel
Budget Code: HVMS
Program Area Code: 15
Activity ID: 19110.08
Planned Funds: $64,821
Prime Partner: US Department of State
USG Agency:
Department of State / African Affairs
Funding Source: GHCS (State)
Program Area: Management and Staffing
Activity System ID: 19110
New/Continuing Activity: New Activity
Continuing Activity:
Activity Narrative: These funds will cover any ICASS services for locally emplyed staff (LES)
HQ Technical Area:
Related Activity:
Table 3.3.15: Activities by Funding Mechansim
Activity System ID: 19089
Activity Narrative: Noted May 8, 2008: Rescission
These funds will pay for the salary and benefits of the USAID Program Manager; these costs are shared between the Management and Staffing program area and the Other Policy and Systems Strengthening program area.
Budget Code: HVMS
Program Area Code: 15
Activity ID: 19089.08
Planned Funds: $27,910
Continuing Activity:
Related Activity:
HQ Technical Area:
New/Continuing Activity: New Activity
Prime Partner:
US Agency for International Development
USG Agency:
U.S. Agency for International Development
Funding Source: GHCS (USAID)
Program Area: Management and Staffing
Mechanism ID: 8232.08
Mechanism:
USAID Prog. Manager and Program Specialist salaries and benefits
Table 3.3.15: Activities by Funding Mechansim
Related Activity:
Continuing Activity:
HQ Technical Area:
New/Continuing Activity: New Activity
Activity Narrative:
DoD has primary responsibility for management and implementation of the Lesotho Defence Force (LDF) PEPFAR activities. A DoD program manager will be sited locally with the LDF to assist directly with program implementation. The Office of Defense Cooperation (ODC) in Pretoria, South Africa will continue to provide fiscal and management support as will the DOD HIV/AIDS Prevention Program in San Diego. DoD will also provide contracts and grants support. The DoD Lesotho program manager is a member of the USG PEPFAR Task Force. The DoD pepFAR program collaborates closely with all other USG PEPFAR implementing agencies technical advosors and implementing partners in all technical areas. Other local costs will include office supplies, equipment and training.
Mechanism ID: 8161.08
Mechanism:
DOD Prevention/Training/Local hire
Activity ID: 19093.08
Planned Funds: $60,000
Activity System ID: 19093
Budget Code: HVMS
Program Area Code: 15
Prime Partner: US Department of Defense
USG Agency: Department of Defense
Funding Source: GHCS (State)
Program Area: Management and Staffing
Table 5: Planned Data Collection
Name:
Routine NAC Multisectoral HIV/AIDS Program Monitoring and HMIS
Other Significant Data Collection Activities
Brief Description of the data collection activity:
Assisted by WHO/Health Metrics Network
Preliminary Data Available:
12:00:00 AM
Name:
ETR.net
Brief Description of the data collection activity:
Electronic TB Register.net. Routine data collection on TB patients. Activity supported by CDC.
Preliminary Data Available:
12:00:00 AM
Name:
District Quarterly Service Coverage Statistics
Brief Description of the data collection activity:
Routine NAC activity
Preliminary Data Available:
12:00:00 AM
Name:
NASA National Aids Spending Assessment
Brief Description of the data collection activity:
This assessment will collect financial data to inform the national indicators about national government allocation and expenditures on HIV programmes. However, Lesotho will conduct it on an annual basis.
Preliminary Data Available:
6/30/2008
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Ohio Association of Election Officials Legislative Committee Meeting January 16, 2015
The legislative committee of the Ohio Association of Election Officials met on Friday, January 16. 2015 at approximately 10:45 AM at the end of conference in the Knox Room in the Hyatt at the end of conference. Tim Ward and Ken Terry were both present today. Ken Terry presided. Aaron Ockerman, executive director of the Ohio Association of Election Officials was also present and assisted with the lead when asked.
Peggy Byers called the roll. Present were: Curt Braden, Penny Brooks, Peggy Byers, Bruce Carter, Kathi Creed, Brad Cromes, Steve Harsman, Karla Herron, Kathy Jones, Faith Lyon, Lyn McCoy, Kathy Meyer, Jeanette Mullane, Deborah Reiter, Brian Sleeth, Ken Terry and Tim Ward.
There were some visitors today as some election officials want to get appointed to this committee.
Ken Terry mentioned four (4) goals he feels our association needs to take up this year:
1. Online registration
2. Precinct Count Optical Scan for Absentees
3. Special fund for electronic poll books
4. Post office issues, particularly postmark issues, no postmark or postmark not clear
Some precinct optical scan counties shared that their voters object to all the paperwork when they come in to do absentee vote in person. Since those ballots at this time have to be folded to go in to an envelope, there is often a problem with those ballots going through the scanner. Ken mentioned that if these absentee voters could put their ballot through the scanner rather than in an envelope, this segment of voters would have true second-chance voting, an opportunity that DRE voters already enjoy. Election Officials remarked about voters who ask where the officials are storing their ballots. Are the votes even being counted? Aaron Ockerman shared there is a draft of this bill which he will share with our committee. He wants our committee to provide input to be sure the bill is well written. DRE counties are interested in this issue because this change will require some kind of poll book. Ken Terry says Triad is already saying they have the capability to provide a solution for this now. Aaron says that Representative Blessing (RCincinnati) plans to introduce this legislation. Representative Blessing plans to ask Representative Curtin (D – District 17) to co-sponsor the bill so the hope is there will be good bi-partisan support for the bill.
Funding for electronic poll books was a topic of conversation and it is hoped this will be supported at the state level. Many counties just do not have the funding in their budgets to provide these.
Ken explained that there was a tray of absentee ballots from their initial mailing for the November 2014 election that just went missing after they were turned over to the post office. Ken mentioned that the elimination of the third shift at all sorting centers for the post office will definitely have an impact on many of our mailings that are time sensitive. The group felt the post office issues were so grave it might be to our benefit to use Matt Masterson's with the Election Assistance Commission to recognize this issue with that commission. It was noted that all of our election materials are identified as election material so the mail should be able to be handled correctly. There is no consistency with the post office; every post office seems to operate differently. Dale Fellows reported that Lake County did some tracking with their election mail in a recent election and discovered that 38% of their mail did not have a post mark. They had their postmaster hold a regional meeting for postmasters to address this issue. Postmarks were not an issue in
1
November 2014 in Lake County. We all realize this is not critical until the deadlines approach, but some voters may very well be disenfranchised because if postmarks as the deadlines approach. Aaron Ockerman shared that it was the hope of the conference committee to get Senator Sherrod Brown and Senator Rob Portman to sit on a panel at conference with a representative from the post office. This just did not come together. Aaron said there is now hope to get this done with the legislative committee and the trustees in the very near future. It was suggested that the Secretary of State's office include the number of late postmarks or mail with no postmarks in future surveys so these numbers are readily available.
As a revenue fund for new equipment appears to becoming an ever more important issue, the legislative committee talked about exchanging members between our conference and the county commissioners. There was some discussion about a webinar that was shared with the commissioners. It was obvious that not all members of the legislative committee had seen this. Some counties have put money aside for new equipment. Should this become mandatory for all counties? Should we move the timetable up for this meet? Aaron expressed that many commissioners do not believe in a special revenue fund. Aaron talked about the exchange program we used to have with the commissioners. It was felt we might want to have a commissioner panel at our next conference. We should probably share with their conference also. Richland county commissioners set up the special fund several years ago so it was suggested they be included in any panel we develop.
Ken Terry suggested we set up some smaller committees to start discussions about moving toward the vote center models discussed at conference.
There was a discussion about some elected officials who do not want to run for office. They do not want to spend the money to take out a petition, nor do they want to appear on the ballot. Oftentimes in villages, this is the procedure. They wait for the election to take place and when the entity reorganizes, they are just reappointed to the position. Sometimes there is no action at all. Business just goes on as usual. The issue for Boards of Election is that the Board of Elections is often left out of the loop so they don't even know what activity has taken place. Many of us have an elected official list on our websites that is totally outdated. With little correspondence, unexpired terms are not triggered. Terry said he would email the code section to all of us on this matter.
Brad Cromes brought up the address protection program for victims of domestic violence. Brad thinks the association could play a major role in this program. There are just a lot of holes in this program that need to be addressed. Aaron says he believes there will be address protection legislation introduced in the next session, but he believes there will be conflicting versions. Aaron believes we should weigh in appropriately at that time.
Brad also brought up the matter of conflicting deadlines for elections in the state of Ohio. We need uniform dates and deadlines in the state of Ohio. Brad suggested he has read and believes that would be allowable with the current code. This is the year when this matter hits us so Brad believes the matter is worth exploring.
Franklin County asked Aaron to have our committee discuss the ongoing and increasing problem where residents in a nursing home do not possess any of the valid forms of identification for Ohio. Is this an issue you see in your county? Have you found a way around this? Kathy Meyer shared that her county sends out absentee applications so the resident can use the last four of their social security number to remedy this. The discussion then expanded to whether we are violating the law in Ohio now that the laws have changed on absentee voting. Could we be deemed to be soliciting absentee votes with our procedures when we go to the nursing homes or the Veteran hospitals? The thought was this is a can of worms that needs to be addressed. We then all need to do the same thing.
2
Many of the counties shared that they print a list of birth dates and social security numbers before they send their poll workers to the nursing homes. The poll workers then can then suggest the numbers are not the same as those we have on our list. This often results in an immediate resolution of this problem.
George Munro from Democracy Live was in the room today. Peggy Byers shared that Democracy Live did a pilot in Washington County in two polling locations during the November 2014 election. One building housed five precincts and the other building had three precincts. This pilot was done with Microsoft equipment which is very similar to the screens and keyboards we use every day. Peggy talked about the number of voters who tried the equipment. She talked about those who did not have a disability, but wanted to try to use the equipment. State Representative, Andrew Thompson, voted his ballot on the equipment and was impressed with the ease of use. There were poll workers in each building who adapted very easily to the equipment and enjoyed working with it. Democracy Live came in to the county the evening before the election to be sure the poll workers would feel comfortable with the equipment and sent two employees to each location on Election Day to be sure there would be no glitches. All went well, and the employees indicated their services were not really needed. Peggy indicated the one problem that day was that the ballot printed out on something like adding machine paper and had to be transferred to a real ballot. Washington County indicated to Democracy Live that this would not be a long-term solution. George indicated they have already addressed that problem and are working toward a solution where their equipment would be made available to any voter. As we all continue to look at new solutions for voting, Peggy suggested any county might benefit by taking a look at the equipment provided by Democracy Live.
Kathy Jones made a motion that the group adjourn. Kathy Meyer seconded the motion. The motion passed.
Respectfully submitted,
Peggy Byers
Peggy Byers
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West Islip School District Education Committee 2016-2017
March 9, 2017
Board of Education Conference Room ~ District Office
Meeting began: 7:15 p.m.
Members present: Steve Gellar, Annmarie LaRosa, Kevin O'Connor, Bernadette Burns, Anne Rullan
Minutes
STEM Academy
The West Islip STEM Academy will prepare students to be successful in college through an individualized course of study in the areas of science, technology, engineering, and mathematics. STEM Academy students will be exposed to courses in all areas of STEM in their 9 th and 10 th grade years. In the 11 th grade students will begin to focus on one area of study. The last two years of high school will provide courses that support a deeper understanding in the areas of Science Research, Engineering, Mathematics, or Computer Science. Students choosing one of the pathways offered will be able to earn Career/Technical Education (CTE) credit. The District is hoping to develop our first academy to launch in the 2018-2019 school year. Our vision is to create several academies that will provide opportunities for students to have options upon graduation.
Graduation Requirements – Options for Math
Our current math offerings for seniors include: Introduction to Calculus/Pre-Calculus, IB Math Studies SL, Everyday Statistics, Intro to College Math, Computer Science A, Algebra, Consumer Math, Financial Math, JAVA, and higher level AP Courses Calculus AB and BC and AP Statistics. Additional course may include Principles of Engineering and Physics. As the district included more coding courses and different pathways, those courses will fulfill the math requirement.
Curriculum Writing
The Education Committee reviewed the following curriculum revision projects:
* Instrumental Band Curriculum Review (Grades 4-12)
* Classroom Music or General Music Curriculum Review (Grades K-8)
* Instrumental Orchestra Curriculum Review (Grades 4-12)
Superintendent's EdCamp
The Education Committee reviewed the workshop offerings to our faculty and staff for our first Superintendent's EdCamp. Faculty and staff were surveyed to determine professional development needs and interests and put together a variety of instructional and technological offerings.
School Security Administrator Training
Administrators participated in school security training in reviewing current procedures and considerations for the future. Administrators learned about low to high threat assessments and de-escalation procedures. The District will expand this training to our support personnel.
Meeting adjourned at 7:45 p.m.
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RICHARD KEARNEY’S
ANATHEISTIC WAGER
Philosophy, Theology, Poetics
Edited by Chris Doude van Troostwijk and Matthew Clemente
Indiana University Press
## Contents
| Section | Page |
|------------------------------------------------------------------------|------|
| Acknowledgments | ix |
| Abbreviations of Kearney's Works | xi |
| Introduction: The Risk of the Wager (Chris Doude van Troostwijk and Matthew Clemente) | 1 |
| **Part I. Conversations After God** | |
| 1 Theism, Atheism, Anatheism (James Wood and Richard Kearney) | 7 |
| 2 A Conversation after God (Chris Doude van Troostwijk and Richard Kearney) | 40 |
| 3 Mysticism and Anatheism: The Case of Teresa (Julia Kristeva and Richard Kearney) | 68 |
| 4 An Anatheist Exchange: Returning to the Body after the Flesh (Emmanuel Falque and Richard Kearney) | 88 |
| **Part II. At the Limits of Theology** | |
| 5 The Anatheistic Wager: faith after Faith (Brian Treanor) | 113 |
| 6 Kin and Stranger: Kearney and Desmond on God (Richard J. Colledge) | 125 |
| 7 Is it Possible to Be a Reformed Anatheist? (Helgard Pretorius) | 142 |
| 8 Anatheism and Inter-Religious Hospitality: Reflections from a Catholic Comparative Theologian (Marianne Moyaert) | 154 |
| 9 Buddhist Anatheism (Joseph S. O'Leary) | 168 |
| 10 The Wager That Wasn't: An Education in Shady Chances (L. Callid Keefe-Perry) | 178 |
A Conversation After God
Chris Doude van Troostwijk and Richard Kearney
CDvT: Let’s start with the fact that people sometimes misunderstand what you mean by anatheism. Anatheism, if I’m not wrong, is not so much a going back to “God” as it is the condition of possibility of a religious attitude, and thus the possibility of God. If so, could we characterize anatheism as some sort of “theory of religion” or a theory of the genesis of religion?
RK: I would say that anatheism is not just a theory but a wager. Or a faith before faith. There are many theories of religion, as you know—religion as an expression of ritual and social consensus (Durkheim); of periodic blood sacrifice (Girard); of wish-fulfilling projection onto a supernatural being (Feuerbach/Bloch/Marx); of compulsive pathologies of fear, illusion, power, and consolation (Freud and Nietzsche); and so on. These are all very interesting theories, but anatheism begins with the experience of a wager shared by all human beings from the beginning of time: the wager of hostility or hospitality when confronted by the stranger. Faced with an unknown other—guest, foreigner, refugee, adversary, the other without or within—we are all capable of responding with violence and mistrust or with openness and empathy. Human history is a story of murder and war; it is also a story of impossible hospitality, of acts committed by great people from Abraham, Jesus, and the Buddha down to contemporary figures like Mahatma Gandhi, MLK, John Hume, Etty Hillesum, and Nelson Mandela. And also, let us not forget, by lots of little people every day of the week, who perform what Proust calls “les petits miracles” of sympathetic imagination. These anatheist acts inform and motivate theories. But existence precedes speculation. Anatheism is praxis and phronesis—to use Aristotle’s terms—before it is theoria.
CDvT: So there seem to be two ways of understanding the wager. One is anthropological—the human power to put another human being ahead of oneself. Another is more theological—involving a response to something more than human both in and through the human, a surplus of love that makes the impossible possible. You say that the encounter with the stranger is a universal human experience, but does it have to involve God per se? Could we not speak of it in purely humanist terms? That is James Woods’s question to you: “Why bring in religion?” In the history of philosophy, the Enlightenment enabled us to rid ourselves of God. Then, with Levinas, we were introduced to talk of the stranger as the trace of God—the so-called “theological turn in phenomenology.” Suddenly, God came back again.
RK: I agree. The anatheist wager can be interpreted anthropologically or theologically, humanistically or religiously, atheistically or theistically, or both. For some (like James Wood), it is an either-or (and he chooses the former). For me, it is a both-and. The wager is primarily about treating the stranger as friend or enemy (from the double term, hostis), not about believing or not believing in God. It is existential before it is propositional. In many wisdom traditions, “God” is the term used to describe the conversion of enemy to friend, of feared adversary to guest. “God” is a common name used by millions of people for millennia to denote the impossible move from hostility to hospitality. And there are, as we know, multiple names for God—and sometimes no names at all. Certain spiritual and mystical traditions share with humanism the option to refuse all names for God. As when Eckhart prays to God to rid him of God. They suggest abandoning all conceptual rights of the sacred so as to let the miracle happen. Eckhart calls it in a prayer Abgeschiedenheit: letting go to let be, letting mystery happen, letting come what promises to come. Anatheism is this radical alertness and attention to the call for transformation; and one could cite as a practical example here the twelve-step program that, in curing addiction, talks of a “higher power.” Proust talks of “little miracles”; Joyce of “a cry in the street”; Woolf of a “match struck in the dark.” The poets have great images when it comes to talking about the sacred (sacer has the same root as “secret,” alluding to what is intimate and ultimate, an unnamable dimension of strange otherness). And we too often forget that some of the most holy scribes and sages were poets. Theology is very often a theopoetics, which forgets this fact. So the important thing, ultimately, is not the name as such. That is why anatheism proposes an open space and time before and after the binary division of theism versus atheism, beyond religious-secular wars and ideologies, in favor of an existential experience of the impossible becoming possible, of hostility being transformed into hospitality, of violence becoming peace. “Ana” signals a moment of grace, trust, and change, a metamorphosis where something strange happens—something given, not made, a
receptivity to the stranger that comes out of the blue. But the moment is invariably modulated by spiritual wisdom traditions. Anatheism has a history, a genealogy, a tradition. It is a hermeneutics of memory as well as a phenomenology of experience. We make hermeneutic sense of the anatheist event as best we can. Some read it as a God moment, some do not.
II
CDvT: So anatheism is less a theory than an interpretative option or experience? But the *anthropos* takes part in experience; *theos*, by contrast, isn’t an empirical fact.
RK: You’re right. *Theos* is not a fact, but it is, as the Greek term reminds us, a certain way of seeing (*theaomai-theoro*) things, experiencing the divine in people and things that exist—a vision of divine movement. That is why the root verb *theo* can also mean “running,” as Socrates suggests in the *Cratylus* (397d)—like a river or electrical current, a power of constant motion and transformation—contrary to the old metaphysical notion of God as an immutable changeless supreme being. John Scotus Eriugena picks up on this wonderful notion when he says that the one who sees is the one who runs through all beings. “When *theos* is drawn from the verb *theo*, it is rightly interpreted as signifying the *one who runs* (*currens recte intelligitur*). Because God runs across everything that exists and is never impeded, he fills all in his course, conforming to the verse of Scripture: ‘His word runs with haste’ (Ps. 147:15). Or again: ‘If God is called the One who runs (*currens dicitur*), it is because he causes everything that exists to run from a stage of nonexistence to that of existence.’” In that sense, we could say that we run into God, and God runs into us. The sacred is therefore that which refers to the secret and the strange, the ineffable and unnamable stranger in our everyday midst. The one we run into when we least expect it. And sometimes even, the stranger in ourselves—as Kristeva and Freud describe our encounter with the “uncanny” other in our unconscious or as Augustine and the mystics describe our most unfathomable inner depths (more intimate than our most intimate selves: *interior intimo meo*). Gerard Manly Hopkins puts it well: “Oh the mind has mountains / sheer, frightful, no-man-fathomed / hold them cheap may / those who ne’er hung there.” He is referring to the sublime abyss within, where void calls to void as the Psalm reminds us: *abyssus abyssum avocat*. I agree with the contemporary Franciscan Richard Rohr when he says that the real distinction is not between the sacred and the profane, but the sacred and the desacralized, and we are the ones who do the desecrating; we are the ones who desacralize what is intrinsically sacred in all living beings. How? By refusing the call of the stranger to change what is, by resisting the summons to run from nothing (our self-enclosure) to something, from ourselves alone to someone or something other than ourselves that solicits love and change. The call of the stranger may be experienced as epiphany or trauma—two ways of registering the other—and it is often a mix of both. But the bottom line is that it bids us “change our lives” (like the artwork in Rilke’s famous poem). This is part of our existential experience, but it is also part of our hermeneutic heritage—our available traditions of stories and revelations. If one looks at the history and culture of religions, one finds a special language and liturgy that advocates for this welcoming of the stranger. You find it in Abraham receiving the strangers at Mamre, Mary welcoming Gabriel, and Jesus and the Buddha welcoming the sick and the seeking. That is why it is so helpful to be inspired and informed by our great wisdom traditions. But we are, potentially, equally informed and inspired by the call of the stranger each day of our lives. The wager is constantly called for. That is why anatheism refuses to oppose our existential experience and the hermeneutic inheritance of our spiritual traditions.
CDvT: If we take seriously the psychoanalytical approach to trauma as a nonretrievable wound, it is not an *either-or*. In epiphany, something like a traumatic undertone continues to sound. Abraham never will forget the horrible day he was ready to kill his son, even if the story relates that God sent a ram as a substitute.
RK: You’re right. And the story of Abraham and Isaac at Mount Moriah is a good example of how trauma (the temptation to murder his son) is but a whisker away from epiphany (the revelation that he must not murder his son, but rather replace the cult of blood sacrifice with the way of mercy and love). The call of God comes in the implied call of Isaac to his father: “do not kill me,” and Abraham makes a genuine anatheist wager: he listens to the stranger/angel/other calling from the face of his son and abandons the old god of blood sacrifice. He runs from the old image of God to the new. Abraham opens himself to the God who comes, who runs toward him. God *after* God. Ana-theos. There is always someone or something that resists evil and bloodlust, that calls for something else—the sacred still to come.
CDvT: Is it a matter of choice and imagination, then?
RK: Both—a choice to be chosen by the call of love and justice, and imagination as a response to the call to create and recreate anew. Anatheism is not voluntarism or subjectivism. It is not just about “me”—but me (or us) faced with the stranger. Therefore it is radically interpersonal. I cannot respond to the call of the stranger without imagination and choice. The modalities
of this response differ from one spiritual tradition to the next. The Judaic and Islamic religions, for example, tend to emphasize a transcendent God where words and scriptures—the Torah, Talmud, Koran, Haddith—are more important than plastic images, statues, paintings, liturgies (though there are exceptions—Sufism for instance). Christianity, Buddhism, and Hinduism are more on the side of the immanent, declaring certain persons and places sacred—teachers, saints, gurus, mountains, rivers, planets, and so on. But stories—works of narrative imagination—are central to all the wisdom traditions, transcendent and immanent. Think of the foundational role of sacred stories in the Abrahamic tradition: Genesis, Abraham meeting the strangers at Mamre, Jacob struggling with the angel, the healings and parables of Jesus, or in Buddhism, the Jakata stories and images of the wanderings of the Buddha in search of wisdom. It is only later that these sacred-spiritual narratives are institutionalized and codified into what we now know as “religions.” And these religions often tend to close down the role of sacred imagination and narration into exclusivist rituals, credos, dogmas, and doctrines. In so doing, they provide a sense of religious identity and belonging for a particular group—which is compelling and important; but this is sometimes at the expense of interreligious curiosity and generosity—namely, interreligiousity. The spirit blows where it wills. It defies spiritual closure and self-certainty. Remember, the Greek for “sacred” is mysterion, meaning literally a blinding experience of verticality and strangeness bringing about a transformation of self, a questioning of identity. And when thus blinded by the sacred, our imaginations go to work. They turn the darkness into light.
CDvT: I noticed that you often use the terms “God” and “sacred” interchangeably. As a Protestant theologian, of course, this automatically sets off alarm bells in my head. God and the sacred are two different concepts.
RK: They are. I agree. But for me, the sacred is a more capacious and inclusive term. Buddhists, for example, can readily speak of persons or things being sacred, but they do not accept the idea of a transcendent God. You can say this person, this place, this time is sacred to me, and it doesn’t necessarily posit a belief in a theist God. Lots of nontheists, humanists, and agnostics can say, “This is sacred to me” in the sense that it is irreplaceable or that there is some special value or mystery about it. Can one explain why? Not easily. There are reasons of the heart that reason does not understand. Different wisdom traditions provide rich treasuries of witness, art, and imagination concerning our experience of the sacred, and one can also access the sacred without a theist theology. One can experience the sacred without proceeding to an affirmation that God exists, without espousing a church of particular confessional beliefs and doctrines. Anatheism is a space that allows for both a theistic and an atheistic experience of the sacred stranger—and of the hospitality or hostility wager that arises from that. It acknowledges a sacred-spiritual moment before a leap of religious faith as such. A sort of faith before faith, if you like. Or a faith after faith. Derrida and Caputo refer, for example, to a messianic desire that precedes all propositional doctrines and opens us to some sense of the impossible, the gift, the perhaps, the event to come, the kingdom. One can choose to call the impossible by an atheistic name like “chora” (as Derrida says, he “rightly passes for an atheist”) or by a theistic name like “God”: defined, as I say in *The God Who May Be*, as the “possibility of the impossible”—the sacred possible beyond the impossible. Anatheism allows for both theist and atheist dispositions and fosters dialogue between them.
CDvT: So “God” comes after the experience of what is sacred for me or for you?
RK: Yes, if you chose to take the step from the sacred to God. The sacred is always concrete and contextual, singular and experienced in some way. We speak of *something* or *someone* sacred: a sacred time, a sacred place, a sacred person or stranger in relation to you or your community. Mecca is a sacred place for Muslims; Varanasi is a sacred place for Hindus. Even though these are not sacred places for me as a Christian, I can respect them as holy places for others. But this sense of multiple particular sacred places and persons invites me to interreligious compassion and dialogue, so the sacred doesn’t have to be just “for me.” I can recognize a sacred place for others, too, and go there with reverence.
CDvT: Should we also distinguish between the sacred and the spiritual?
RK: Yes, I think it is important to acknowledge the difference between the spiritual, the sacred, and the religious. The spiritual is everybody’s search for something special, a *surplus* of meaning. And I am not sure I have ever met anyone not open to that. One can easily say that one is spiritual without implying a relationship to any particular sacred person or place or to any particular religion. Literature, poetry, art, yoga, and meditation are all spiritual practices. They can be individual spiritual choices without involving commitment to any shared sacred experience, tradition or religion. They are human experiences, acts, searchings. One can do yoga without being a Hindu and walk the Camino de Santiago without being a Christian. The sacred takes spiritual practices to a more incarnate, shared level of special times, places, stories, persons, and invariably involves some element of community, while religion, for its part, takes it all the way.
to codified doctrines, dogmas, rites, ceremonies, and beliefs. The three levels—spiritual, sacred, and religious—comprise a series of options one can take or leave (at least in our secular western democratic culture) and I am not setting up any claim to progression or regression from one level to the next. Personally, I am happy to embrace all three, but I equally respect others who chose one or another.
CDvT: You start with making choices and wagers.
RK: Yes, and in that sense, it is a human point of departure. But anatheism is not limited to the human. It is a human response to something more than human, in and through the human. Each sacred wager is centrifugal; it runs beyond the self. The sacred is something you want to run toward because it is other than you and solicits you in some way. And then the religious is a further option, if you wish to take it—that is, to commit to a particular shared set of doctrines, rites, and traditions. And finally, God, one could say, is above all religions as the name for the divine X-factor: the name for what cannot be named. And it is because God is an apophatic, unnamable in essence, that—paradoxically—one finds multiple different names for God in multiple different religions. Elohim, Yawheh, Abba, Kyrios, Allah, and so forth, in the Abrahamic tradition and several hundred names in the Hindu scriptures. “The non-nameability of the divine is its omni-namability,” as Eckhart, according to Stanislas Breton, rightly says.\(^5\) There are many names for God, and they all aim at something more than the name—the more in the less, the infinite in the finite, the radical grace of transformation, the possibility of impossible hospitality to the stranger.
I mean, if I pray to X, that prayer means nothing to me. But if I say a prayer to Jesus, to Mary, to Saint Francis . . . I do not pray to some empty abstraction—I pray to someone. So God is always a crossing of the name of God into flesh, a running toward us as we run toward God. The name needs to constantly fill and empty itself again and again, God after God after God anatheistically. I think again of Eckhart: “I pray to God to rid me of God.”
CDvT: But that is because you are a Catholic.
RK: But you Protestants pray to Jesus, don’t you? And to the Father in heaven?
CDvT: I remember in my church, there was a discussion about that. Some said you can’t pray directly to God, but only to Jesus. Which is, dogmatically speaking, nonsense. If you use the name of Jesus Christ, then you’re already praying to a crossing of the name. In a sense, the godly Christ is the cross over the human name of Jesus. But the point for us is, I think, that you have to wager: theists may call to God or to one of his many other names; atheists refer to some other concept. But the wager is inescapable.
RK: I agree.
CDvT: Do I understand you rightly, then, when I say that for you, anatheism indicates the moment of hermeneutic decision: in what language are we going to articulate the experience with the stranger? Either chora or God? Either philosophy with Plato or theology with, let’s say, Augustine? Chora is a notion of openness, purely formal, whereas “God” is loaded and has strong spiritual and religious connotations. When pondered carefully, the two concepts do not have equal weight.
RK: For theologians, yes, God is more loaded than chora. But theology comes after religion which comes after the sacred.
CDvT: Could we say “eschatology,” in the sense that there is no original experience that is not oriented to some final horizon of interpretation?
RK: Yes, I think so. I often use the term “eschatology,” which I have preferred to theology in previous works like *Poétique du Possible* (1984) and *The God Who May Be* (2001). Ricoeur uses eschatology in his conclusion to *Freud and Philosophy* to denote an ontological sense of the sacred—sacred understood as the surplus, the other, the strange: the beginning before the beginning and the end after the end. In this sense, he distinguishes an eschatology of the sacred from both an archeology of the unconscious (Freud) and a teleology of absolute consciousness (Hegel). The eschaton precedes and exceeds the Freudian *das Ding* and the Hegelian *telos*, while admitting a proper role for each of them, and their resultant disciplines—namely, psychoanalysis and dialectics.
CDvT: So anatheism denotes that which exceeds comprehension, while remaining the condition of the possibility of it. But is your eschatology the same as Paul’s eschatological expectation? “For now we see only a reflection as in a mirror; then we shall see face to face. Now I know in part; then I shall know fully, even as I am fully known” (1 Cor. 13:12). It seems to me you are talking about something like an ana-eschatology, if you accept that neologism. A return to the moment of excess, both in the beginning and in the end?
RK: I like the term ana-eschatology. I see it, with Ricoeur, as transconfessional and therefore conducive to interfaith dialogue. The question “what is the eschaton?” can be answered in different ways. I am thinking again of Ricoeur’s hermeneutic question: “D’ou parlez-vous?” My own personal hermeneutic answer is: I come from an Irish Catholic, pagan, Christian tradition, and my wager—my interpretation of the wager—is deeply informed and inflected by this. This existential-cultural framework affects my reading of spiritual, sacred, and religious experience. My atheist friend James Wood might say: “I read the same phenomena from a secular-humanist hermeneutic.” And Derrida and Caputo chose to read it from a posthumanist messianic one. There are many ways of reading the eschaton.
CDvT: And Heidegger tried to get rid of Christian theology altogether.
RK: He tried to replace it with a new mythology inspired by Schelling, but I am not sure he ever fully succeeded. I think William Richardson is right about that. And here again I think we may find anatheism useful in challenging the old dogmatic distinction between theism and atheism. People were burned at the stake for such dogmatic disputes. Anatheism, by contrast, presents theism and atheism as variable and sometimes exchangeable options, as hermeneutic interpretations, but deeply heartfelt ones.
IV
CDvT: Take James Wood again. He says something like, “Look, I believe in opening my arms to the stranger, but I do not need God to do that; I do it as a human being.”
RK: I tried to address this question in the postscript to *Anatheism*: “why is the wager of hospitality not just glorified humanism?” And my answer is, because the anatheist moment remains open, disposed, vigilant toward something more than human, which can call to us through the human (or nature)—a sort of infinite which shines through and exceeds human finitude [*Dasein*]. In that sense, there is something posthumanistic in my reading. Nonetheless, the more-than-human in the human is a total vocation to become more human. As Chesterton says somewhere, when you die and go to heaven, God will not ask you why you were not more like him, but why you were not more like yourself. What I call the more-than-human in the human is the stranger in ourselves that goes beyond ourselves, the transcendent in the immanent, the possible-impossible in the actual. This posthumanism can either take the form of an anatheist theism (which, in recent debates in *Reimagining the Sacred* and elsewhere, I would identify with thinkers like Charles Taylor, Jean-Luc Marion, John Panteleimon Manoussakis, and Catherine Keller) or take the form of an anatheist atheism (Julia Kristeva, Jean-Luc Nancy, Giorgio Agamben, and Jacques Derrida).
CDvT: The traumatic moment of the encounter provokes the anatheistic wager in that it calls for inscription in already existing discourses. Levinas, like you, talked about the infinity of the other: at once articulated in finite discourses and resisting radically any reduction to finitude, therefore infinite (not finite).
RK: It provokes discourses about events—epiphanies or traumas—which come before or after our language. But we can only access them through our language, right? Even if it is a proto-linguistic language of the senses—what I call “carnal hermeneutics.” I agree with Levinas that this primordial sensibilité involves some kind of “existential trauma”; a primal wound as it were, but one that does not have to mortify and injure but can also be experienced, as Gregory of Nyssa put it, as a “beautiful wound.” Or to play on the common root of wonder and wound—from the Germanic *wunde—a wonderful wound*. Such a wound, if the wisdom tradition narratives are to be believed, is first registered as fear and trembling since it is radically strange and unfamiliar. That is why the holy figures of scripture are “troubled” and even terrified by the encounter with the stranger—in whatever language you chose to name it: the *ger*, the *hospes*, the *xenos*, the *gast*. Abraham and Sarah, Jacob, Mary of Nazareth, the shepherds at Bethlehem—“Every angel is terrible,” as Rilke says. And the first thing such angelic strangers say to their human recipients is, “Do not be afraid. Nothing is impossible to God.” It’s there from the time you are born—this traumatizing call and response. It’s there from the very beginning. Your first cry is a response to a trauma that Levinas calls *le traumatism original*, and your last cry before death. From the moment we’re born to the moment we die we’re being addressed by a call; we’re responding in one way or another—we are wagering, carnally or cognitively.
CDvT: But we can’t suppose an active will power for an infant. Might we say that the wager is wagering in us?
RK: This is an interesting question. Can babies wager? Take some recent research in developmental psychology, indicating that since birth, we have two ways of responding to the world. One: you connect. Two: you disconnect. The “original trauma”—with a small $t$—of natal life is such that one either withdraws or makes a movement out of oneself, toward the other—who, of course, has also experienced trauma and has her own kind of call and response. We are always going back and forth between the movement toward and away from the other. This designates the precognitive carnal-natal options and vacillations of association or dissociation, which remain throughout one’s lifetime. Laplance and Klein offer a fascinating psychoanalytic reading of the infant’s different ways of fantasizing the breast, interpreting it symbolically rather than biologically—though, of course, the breast is both a source of nourishment, warmth, and milk, as well as of primal eros and thanatos projections.
CDvT: But surely at birth there is no “I,” no self, nothing like a subject. Yet there is still the call and the response. The wager is not, in this case, an active decision. Kristeva quotes Winnicott in your interview with her: “Consciousness is not just cerebral. Consciousness is somatic.”
RK: Winnicott is right. For the newborn, the existential wager is never, of course, a case of a cerebral choosing subject—à la Descartes or Sartre. It is a play of active-passive interfusion between two beings: mother and child. Kristeva calls this primary natal relation *reliance*, declaring it to be one of the most underestimated of all human relationships, and she reckons we ignore this primordial bond at our own peril, for it is deeply humanizing and formative. It is curious, but I have come to believe that birth is already baptism, the baptism of desire. I discuss this with Emmanuel Falque in another conversation in this volume. From the moment you are born, you desire something that you cannot have; you’re suddenly exposed in your nakedness, in terror and fear, to this strange world—at once potentially hostile or hospitable. You respond.
V
CDvT: Richard Colledge wonders in his contribution whether the wager implies something like a Kierkegaardian leap, with the risk of voluntary and subject-bound fideism. But it seems that, for you, the wager is primarily not an active, subjective choice, but rather a bodily and relational event.
RK: Subjectivity is anachronistic here. We retrospectively project that onto the child. Anatheism never happens with one person. It is always between persons, always in relation, transfusion. And from the moment the child is born, she is already in relation—sensing, fearing, but also desiring—searching for connection and direction (the primary sense of *sens*). Then, as the child develops, she reiterates and accentuates the moments of attraction or retraction. Those initial wagers happen between two people—mother and child as host and guest. The first person you encounter is your host, and you are the guest.
CDvT: That implies that your host, at that moment, is determining your wager. *Après coup*. I am thinking of Lyotard’s concept of *enchâinement*. The sheer *quod* of a phrase does not yet have a determined meaning; it all depends on the phrase that follows. Yes, the baby is a guest to the mother, but only if the mother accepts the child in hospitality. But the newborn could equally appear to be a *host* if the mother rejects her, for instance, in postnatal depression.
RK: It is a both-and situation, wavering between connection and disconnection. I remember Levinas telling me once that he’d been watching TV the previous night and had seen a doctor put his finger on the foot of a newborn child. The foot moved backward and forward, and that very double-response of withdrawal and offering was, Levinas suggested, already a form of language, where the first wager begins. Contact or retract. Cry out or remain silent. Already we’re sensing the world through our senses. That is where carnal hermeneutics originates. The first natal wager is *carnal*, not *epistemological*, which is why anatheism is not agnosticism. Agnosticism says, “I don’t know” in epistemological terms. Anatheism is prior to questions of knowing and not knowing, but it is precognition before cognition, sentiment as presentiment. So that all cognition is, strictly speaking, always recognition, the working over and working through of sometime that has already been sensed. Once again, the double sense of “ana” as *pre-* and *re-*-, before and after.
CDvT: Would you frame this original anatheistic wager as more proper to hermeneutics or to phenomenology? The carnal side I associate with the latter; the epistemological and religious with the former.
RK: I would say that hermeneutics goes all the way down and is therefore *already*, from the start, also a phenomenological experience. What I call carnal hermeneutics is phenomenology as proto-hermeneutics. When we’re sensing, we’re already *directing* our senses, like the French question “*dans quel sens*?” Do you go toward the other or retreat from the other? Sense means not just sensing a sensation, but rather looking for sense as meaning, a sense of direction, an orientation in the world with others, or finding your way in a strange new world.
CDvT: So the wager is about sensibility—about closing or opening? In fact, some sort of deep hermeneutics?
RK: Yes, a sort of primal phenomenological hermeneutics where you are prefiguring your world. You may be born in the desert, like Ismael, and all you can do is cry out and there is no one to rescue you. Abraham, your father, has cast you out. He doesn’t hear you, won’t hear you. Will someone else come to rescue you? Will anyone answer your cry: “Where are you?” The cry of a child is a wager in the sense that when it cries out, it prays, hopes, trusts, and believes somebody will come.
CDvT: Again, this wager is happening to you more than you are consciously responsible for it …
RK: Yes, it is happening to you, but you are also participating in what happens. As a day-old infant, you are, of course, not responsible for what happens to you, but you are responding. You’re responding to trauma or love. Or both. And as soon as you’re responding, you’re already on a threshold, an in-between transitional space, an *entre-deux* between self and other, in however primitive and inchoative a sense.
CDvT: This recalls a proximity to William Desmond’s metaxology (*metaxu*—between) as Richard Colledge suggests in his essay.
RK: I am very partial to my friend William’s metaxology—the transitions and mediations between divine and human, the natural and metaphysical. That is also why I don’t want to draw an unbridgeable dualist gap between the animal and the human, because we are responding as human animals—or “humanimals” as my colleague, Kalpana Sheshandri puts it. Again, this is something I develop in my dialogue with Falque. So when it comes to the question of anatheism, there is a metaxological moment when we respond to the call of the stranger, a reaction to the presence of the radically other. We don’t translate that experience into theories or doctrines about theism or atheism until we go to school or church and learn about religion. But the wager is operative at birth—a sort of carnal *connaissance* as *co-naisance* (cobirthing) between two beings. Religion and theology are methods and codes for thematizing and institutionalizing that experience *après coup*. One rearticulates the primary ontological first faith (*fides*) and trust (*confidens*) into scriptures, rites, representations, and doctrines. If one is a Christian, one rereads one’s primary sense of carnal orientation vis-à-vis strangers in terms of Mary and Gabriel, Jesus, and the Syro-Phoenician woman. If a Hindu, one speaks the life of Krishna; if a Buddhist, one speaks the life of Siddhartha. These are different and equally legitimate (which is not to say equivalent) ways of responding after the event, *nachtraglich*, to the trauma-epiphany of first fear and first faith—and the struggle, the wager, the journey between them, which I call the anatheist journey.
CDvT: Are there successive wagers, then?
RK: Yes. There is a primary wager between hostility and hospitality regarding the stranger and a secondary one between belief and nonbelief. Anatheism works back and forth between these two levels of wager, of call and response. Hence the double *a* of anatheism as “ad” (toward) and “ab” (away from). Advance and abandon. The two senses of *a-dieu* as moving toward or away from the other, which many chose to call God, and many prefer to call by some other name or no name at all.
VI
CDvT: Let’s try to dig deeper into this journey and focus on prayer. Wasn’t it precisely Jesus who, calling himself the “son of God,” taught his disciples—and thus us—to pray to “our father?” Didn’t he want all of us to engage in a journey of transformation, to become sons of God?
RK: Yes, he did. One can read the entire life of Christ, right up to his death on the cross as a radical rejection of the Alpha-Patriarchal God, who demands substitutionary atonement of his son. By contrast, Jesus (and Isaiah before him) invites everyone to be a “son of God,” like him. “You can all follow me,” he announces. A theopoetic calling to everyone to become a son or daughter of the divine, to become a *hospes* as he revealed himself to be in Matthew 25. Anatheism reads Matthew 25 as an open call to everyone to become host or guest. An endless call to rebirth, as God after God after God, stranger after stranger after stranger …
CDvT: But when Jesus prays on the cross, his prayer seems to be much less confident. It is more like a complaint: “My God, my God, why have you forsaken me?” (Matthew 27:46).
RK: Christ’s cry from the cross brings me back once more to the double *a* of anatheism. The cry represents the *a* of abandonment, replicating the first natal moment when we abandon the womb and are abandoned to life. Thrown or ejected into life, as Heidegger might say: *Geworfenheit*. One’s first experience entering naked and exposed into the world is one of forsakenness, but it is immediately and simultaneously accompanied by a second or double experience of yearning to reach toward someone or something “other” than oneself, to survive, be salvaged, saved—the second *a* in *ana*, which signals advent: Christ’s “unto thee I commend my spirit.” The first cry of the child captures this double sense of *a-n-a*. Both moments—abandon and advent—are equiprimordial. We spend the rest of our lives going back and forth between them, reinterpreting our earliest beginning in light of our last end. In that sense, we are at once both natal
and mortal. Just as the kingdom reinterprets creation, eschatology repeats genesis, and so on. Now, in any good anatheist debate regarding the second “religious” wager, the atheist might say to the theist, “I respect your need for religious faith, but I’m not going there. I’m staying loyal to the first \(a\) of absence—abstention, separation, natal beginning, eventually leading to autonomy and individuation (what Lacan calls ‘symbolic castration’).” Atheistic humanism doesn’t have to be seen as deficient or defaulting. The atheist has every right to say, “We can handle things among ourselves; we don’t need to appeal to God.” Whereas the theist chooses to translate the moment of primary trust into a religious belief, a holy scripture, a theology, a set of ritual ceremonies, prayers and practices which identify the stranger as God.
CDVT: We make that second religious wager when we are praying, don’t we? To whom do we address ourselves when praying, if not to God?
RK: The anatheist theist says that there is something out there in which she confides, has confidence, to whom she expresses fidelity and faith qua divine other, which she calls God. To which anatheist atheist like Derrida or Nancy might reply, “Well I too am prepared to say that there is something more—but it is something more in human life itself, a sur-vivant of life in life. An alterity and excess here and now. Within the finite. We can find that in art, in literature and culture, in everyday life. We don’t need to go to some transcendent deity. I can see the need for trusting in some ultimate goodness that is inexplicable, but I do not want to put the name ‘God’ on that.”
CDVT: I would agree that, yes, we need to admit the excess or the surplus. But to me, it’s not enough to merely indicate that there is something or, if you want, some sort of spiritual energy “out there.” The need for “gods” is felt at all times in all places. It has some sort of necessity in it. Why? Maybe because of an inescapable need which I feel in myself.
RK: What Kristeva calls “le besoin incroyable de croire.”
CDVT: Exactly. But why this unbelievable need? Because of a split. Because human beings are only able to experience trauma at a distance—not when the trauma actually happens but only in the awareness that a trauma has happened. Thus I’m conscious of my inability to experience that which I have experienced in trauma. In a sense, I find myself in two places: in the presence of a trauma that I do not realize and, at the same moment, in the realization that I do not realize it. This double position reveals that, in some ways, I’m already heading for something like a vision sub specie aeternitatis—something like a bird’s-eye view of the world, of my world. It is as if my own experience of my inability to experience trauma is already a going-out, a going-above the world—an experience of transcendence. But the one who is looking down at himself “from above” is stuck in the presence of trauma without knowing it. There is in human subjectivity this striving for transcendence, this moving force to go beyond, and the concomitant desire to address.
RK: Again, this sounds to me like Kristeva’s “incredible need to believe.”
CDVT: It prompts us to propose something like a divine individual, a god—I mean something with anthropomorphic features. God becomes the name for the more-than-human experience of the unexperienceable. In myself, in being conscious of myself, I’m always already heading for some sort of subjectivity that is larger than I am, larger than this Augustinian intimate untouchability of myself that so interested Lyotard at the end of his life. And this “more-than-me” captures the features of otherness and irreducibility that were revealed to me in the traumatic experience with myself in relation to the other, the stranger, both hostile and welcoming.
RK: I see what you are saying, and perhaps that is why anatheist wagering is a wondering and wandering, a fluid crisscrossing between atheism and theism. I think atheism without theism is unhealthy, and vice versa. The anatheist wager has nothing of the all-or-nothing of Pascal’s or Kierkegaard’s fideist wager. Healthy atheism grounds and complicates eschatology: that is what Jesus came to do. He was an atheist, defying the existing religious authorities, before he redirected his anatheist faith toward God. He reinterpreted the divine (against theodicy). That is what he meant in his cry: “My God, my God, why have you forsaken me?” “Do you know why you have forsaken me? Because you—the God who has forsaken me—are the alpha-God of totalizing omnipotence, and I’m here to prove that we have to get rid of you. You are an idol. I have to fully carnate you to show that the true God is your ‘face in ten thousand faces,’ as G. M. Hopkins has it. My calling is to manifest you in and as every singular son and daughter of God who gives or receives bread or water in your name—that is: in the name of love.” The anatheist Christ says, “This is my vocation—to announce the death of an excarnate God and the birth of an incarnate one. A God of flesh.” “Unto Thee, I commend my spirit” is the opening of consent to a Thou that is beyond, because beneath, the omni-God of theodicy. As Merleau-Ponty put it so well, citing Claudel: “if there is a God, it is a God beneath us, not beyond us.”\(^4\) Christian incarnation means that the more is in the less, the infinite in the infinitesimal.
CDVT: Have we identified here a second argument behind the anatheist hypothesis? First, we said: I have had an experience that exceeded my
ability to experience; but, paradoxically, I am aware of my own inability to experience that experience. So we’re staying on the level of ego. But this ego is a stranger to himself, as Kristeva would have it.
RK: Or a “wounded cogito,” as Ricoeur puts it—a self that’s haunted and obsessed by the stranger.
CDVT: Yes, and the second argument has to do with the phenomenon of “addressing”—the miraculous experience of prayer. The original wager provokes us to respond in a very carnal and incarnate way. But responding is addressing. Therefore, the original wager calls for a “name,” an “address.” Again, something like a “God” born out of the impossible experience of excess. Addressing myself to God implies that the other to whom I am addressing myself also has subjectivity. So, if the phenomenon of looking to this traumatic moment “from above” or sub specie aeternitatis, it implies the idea of a super-consciousness, the address “reinvents”—and here I think of Derrida’s reflections on invention—this super-subject as the other. That is why I believe that we’ll never entirely be rid of the anthropomorphic or, better, the personal God. At the most minimal level, we’ll stick to some sort of divine name: we interpret our own cry in relation to trauma as an address. Psychology might call it projection. But I refuse to admit that it is a simple mirroring process. It is more like an expulsion of strangeness and thereby a reiteration of it on another level. Trauma begets trauma by “projecting” the impossible experience onto some sort of exteriority that bears the name God.
VII
RK: I think I see what you mean. I suppose atheism occurs when we make the wager to ensure that we dwell in what Keats called “negative capability”—a remaining in radical mystery and uncertainty, refusing to reduce the wonder of the other to myself, resisting the temptation to limit the irreducible stranger who calls to a merely subjective projection.
CDVT: Yes, and thus also respecting the “split” in ourselves—our subjective incompatibility, the other in ourselves. *Soi-même comme un autre* (Ricoeur).
RK: Indeed, atheism is there to ensure that I don’t say, “This mysterious other is me.” The stranger is precisely *not* the same as me. The other in me is not reducible to me. It is more than an alter-ego. In terms of eschatology, that implies that we need the father to rescue us from the anthropology of the son by reminding us that there’s always something different, always a kingdom still to come.
CDVT: You mean that the Father stands for the traumatic moment, the real otherness? Not the projection of my self in a super-subject, but the projection of my *trauma* onto that subject, my experience of not coinciding with myself?
RK: Well, it’s a way of responding to it in a certain language, a very psychoanalytical language, about the relation between father and son. The one thing that precedes and eludes us at birth is the father. We know the mother, but we don’t know the father. It’s about a beginning before I begin, a genesis of becoming before I am. I began before I begin. I was begotten before I was born. And that experience of unknowable paternity—whether you call it the Creator on the first day of creation or Joyce’s “epical forged check,” the “blind rut in the dark”—we all share that in common. There’s something else that precedes and supersedes us—that comes *before* and *after* us. We don’t have any control over it, and that is expressed in Christ’s words, “I must go so that the Paraclete can come.” In other words: the son becomes the father to the next “son,” who is the Paraclete as endlessly reproducible sonship—filiality replicating itself as endless hosting and guesting (*Matthew 25*). Perichoresis once again. Father birthing son birthing spirit ad infinitum. We have to be careful of gendered language here, of course, but I am merely citing the terms of scripture, which are hopelessly masculinist. We could say something like this: by eschatologizing the language of creation, we rescue it from narrow naturalism; we take it out of the chronological determinism of *natus* and *genus*, toward a spiritual sonship and daughterhood.
CDVT: So atheism is, for you, also a way of rethinking theology in modernity or, if you like, postmodernity? If so, would you agree that in classical theodicy, a spatial paradigm of thinking was presupposed, spatial in the sense of a simultaneous, metaphysical, hierarchical, unfolding relation between the one and plurality; whereas in *atheism*, a different scheme, a paradigm of temporal succession without final comprehension, is presupposed? I noticed that you refer repeatedly to notions of achronic seriality, successivity, and historicity. And this time beyond and before time seems to relate to a traumatic moment that escapes temporality. I see some resonance here with Levinas’s analysis of the birth of time, from the relation to the face of the other, and maybe also with Lyotard’s analysis of Newman’s “The Sublime is Now.” Trauma is the enigma of beginning. So the only way of speaking about it is by coming back to it, retrospectively: the trauma will be noticed only after the event has passed. And this moment is constantly passing, which would make the grammatical mode of atheism the *future antérieur*?
RK: You are right: anatheism is ana-chronistic. But I would modify your suggestion. Theism and atheism follow chronological time, whereas anatheism upsets that model in a basic sense. According to Freud and Marx—and the Dawkins anti-God squad—religious people are delusional and infantile: they should accept the scientific enlightenment and become secularized, rational, responsible grown-ups (albeit, for Freud, at the price of neurosis—the “discontent” of mature civilization). That is a model chronological “progression” which anatheism challenges. Anatheism accepts certain aspects of the atheist critique of religion but it introduces the vertical into this horizontal notion of time. Modernity is not some ineluctable march of Progress.
CDvT: I would relate that discussion to the paradigm of simultaneity. Time, chronos, as expressed in the attitude: “Once we had theism; now we have atheism.” But when you propose anatheism, you propose to come back time and again to that unpredictable “thing” that will always only become articulated afterward, in the future anterior tense. Hence: sheer successivity.
RK: Let me try to clarify. Kairological time breaks open chronological time. It is a temporality of the strange (traumatic or epiphanic, sublime or sacred), which is always already there and always yet to come. Derrida and Agamben got this right—following Benjamin—in their analysis of messianic temporality. Bergson also had great insights into this deep temporality, as developed by Deleuze in his magisterial work on cinema and time. The time of cinematic montage is, curiously, isomorophic with that of eschatology.
CDvT: So ana-time as the future anterior once again: what is will only be articulated when it has already passed away.
RK: Yes, but that does not take us away from the moment. The moment is always potentially traumatic and epiphanic because it escapes us. And chronological time and history are attempts to put that back into some sequential casual order. That is, if I understand you correctly, what you entitle the simultaneity paradigm. Such order can be a particular temptation for theism and atheism alike. Both risk conceiving time in terms of causal regress and progress.
CDvT: You mean, institutional theism puts the experience of time under the dictate of logos. Would then anatheism be the inscription of logos into the impossible experience of time?
RK: It depends, again, what kind of time. I insist on this distinction between chronology and ana-chronology (kairological-eschatological-traumatic time). In Greek mythology, Chronos devoured his sons. He wanted everything to come back in line with the cause, to return to the paternal origin. He couldn’t let the other—his children—go. By contrast, ana indicates that time is uncontrollable, untotalizable, and that we are always too late for the moment, but also that it is always still to come because it is an excess. The excess is interpreted apophatically by mystical theism; there are no words, names, narratives, images for it. It is interpreted kataphatically by theism, through teachings, theologies, liturgical calendars. Anatheism says that the apophasis and kataphasis need each other.
VIII
CDvT: When you say “need,” you mean that kataphasis and apophasis are mutually corrective? I remember Derrida’s reflection on the mystical question “How to avoid speaking?” The silence pierces through the words. The mystical moment prevents any discourse from closing in on itself, from totalizing or adequate repetition.
RK: In that sense, one could say, provocatively, that Derrida needs the church and the church needs Derrida. Why? Because the church without deconstruction risks reducing messianism to triumphalism. And Derrida on his own is a lonely voice crying in the desert with no one to talk to. I asked Derrida once, “How do you pray?” And he answered, “I pray in Hebrew because I have no other language.” Even the apophatic needs a bit of kataphatic help when it comes to the crunch.
CDvT: As a Jew—but what is it to be a Jew?—Derrida has his linguistic, Hebrew community.
RK: Yes, and Derrida is very helpful on the relationship between concrete historical “messianisms” like Judaism and Christianity and what he calls “messianicity”—the more formal condition of possibility of all messianisms. In this deconstructionist sense, one might say that anatheism is not a belief or disbelief but, to come back to your opening question, the condition of possibility of both. When you disbelieve anatheistically or believe anatheistically it is always a wager that expresses the fact that you don’t know: the fact that it is, at bottom, always a matter of faith and trust in the stranger, however that is defined (as they say of the “higher power” in the AA movement).
CDvT: You have been doing some interesting recent work on Duns Scotus. Is anatheism a version of Scotism—I mean a radical acceptance of contingency?
RK: In a sense, yes. The contingency of human existence makes every wager free. And there I remain a Scotist existentialist, a believer in freedom, but
not arbitrary freedom. I would say, rather, a responsive, interrelational, summoned freedom.
CDvT: The risk of skepticism is there too.
RK: Of course, and that’s why anatheism always harbors an element of skepticism and doubt. Call it what you will: *docta ignorantia*, the dark night of the soul, not-knowing, anguish, questioning. It also informs the first step of the twelve-step program of AA: the admission that I am radically abandoned—forsaken. The realization that you are not in control but are radically helpless regarding your attachments and illusions, your addictions, and repetition compulsions. You are now ready to appeal to the other—the higher power beyond your ego, which is the second step of AA. In short, you realize you cannot do this on your own; healing is impossible without recourse to a community. You need the other—your sponsor, your group. You need to tell your story, to hear the story of the other. Nobody can do it alone. Kierkegaard couldn’t. He was miserable. Derrida couldn’t. They were both spiritually and intellectually miserable.
CDvT: But maybe one is only miserable if one refuses to accept that one’s always already in community?
RK: I agree, and it is complex. Because even to the extent that Kierkegaard was miserable, he still had a church to fight with, a language to speak to and to speak against. *The Lilies and the Birds* and all those sermons. He had a common discourse, however controversial. He belonged to a messianic-Abrahamic tradition, much more explicitly than Derrida, but he lived it contentiously, as the “single individual” devoid of congenial partnership or community. Even the “single one” is in relation to some community it resists or rejects.
CDvT: Then, does Derrida too need to come to religion? To a faith community?
RK: Not necessarily. An example: I have a friend who went to AA meetings and said to me, “Oh dear, I’m going to have to come to the God-moment; I can’t stand it.” And I replied, “You don’t have to. You can interpret the ‘higher power’ agnostically, in human terms, if you wish.” But then, of course, you get a definition of the human that enlarges the human. I would say then: “In the human, there is something more than human.”
CDvT: Before addressing this theme of the inhuman or the more-than-human, tell me: do you think there is an intrinsic link between faith and community?
RK: If you ask people, “Why do you go to church?” many say because of community. Now, humanist atheists may say, “I don’t need to find my community in a church. I find it in the human race. I find it in my neighborhood peace group, my local protest march for liberty, justice, housing, the right to choose, gay marriage, LGBT rights, or whatever. I find it having dinner with my friends.” And that is all very true. The difference with communities based on something that is more than human—usually called God or spirit or the sacred—is that they acknowledge that we’re not the only active agents involved: there is something bigger than us at work. There is something “higher” or “deeper” beyond or beneath us.
CDvT: Someone might pose this challenge: the Greek vision of the gods was that the gods suffer like human beings. They’re kind of super human beings, but they have comparable problems. And that creates a solidarity, a community in suffering between the gods and men. Whereas in monotheism, this projection of the vulnerability of humanity into the sphere of the divine is lost.
RK: I’m not sure that the God of Abraham and Judaism is always such an indifferent God. I think that there is a lot of passion and compassion in the wisdom books, in the Song of Songs, in Hosea, and Isaiah. And Jesus is a suffering servant par excellence. In Sufi Islam too—think of the poems of Hafiz and Rumi where God is the guest, the drunk, the lover, the dancer, not some abstract impassive impersonal force. Which is why Salafism—at the root of Isis and Al Queda—persecutes Sufis. The Sufis have no time for abstract ideologies.
IX
CDvT: Can you say more about what you call the “more-than-human.” If we take Nietzsche’s *Übermensch* as this “more-than-human,” for example, we can’t even say it is human.
RK: It may also include what Lyotard called the “inhuman,” and then the line between atheism and theism becomes very porous and fertile. Each of us has a theist and an atheist inside. From the beginning, since the moment of birth, we experience both the sense of “I belong” and “I do not belong,” and we can emphasize one moment or the other: either our desire to connect with the other, to communicate with the other, or our desire to be on our own, independent, sovereign. Both are important. And each involves taking a stand, saying, “Here I stand.” You find these alternating positions even in the monastic tradition: *ora et labor*. *Labor* is going out and working with your community. *Ora* is prayer, contemplative life as *monos*, alone, abandoned to the spirit. And then comes, once again, the call of the other: I need confidence and faith in the other, who will rescue me from my loneliness, and who, in turn, needs my care and attention. I take my stand.
Hinenee. Me voici. Here I am. Anatheism is not wishy-washy indifferentism; it is not lukewarm oscillation and procrastination. It is about making bold and committed wagers while always remaining open and attentive and refusing the tyranny of certainty—the lure of absolutism.
CDvT: That is on the side of the encounter with the other, but we spoke already about self-transcendence, about an immanent dépassement of the human subject who is always there where he can’t be, as Lacan said. Otherwise and more-than-human.
RK: And God is, I admit, one traditional name for this more-than-human in the human. Just as God is the more-than-animal in the animal. And the more-than-natural in nature.
CDvT: I’m not quite sure about the last two. Your thesis is similar to that of Pierre Gisel, who talks about the excess as the differential trait of the sacred and of God. But yes, God is the more-than-human in the human that I discover in myself as the thing I cannot put into words.
RK: You discover it in yourself, and you discover it in the other.
CDvT: Yes. Perhaps first in the other, before it reveals itself in me. But how do we discover the “more” philosophically speaking?
RK: In philosophy, we have only phenomenology, existential hermeneutic phenomenology of the other, of the face, what John Manoussakis calls the prosopon. That is the most convincing philosophical way, it seems to me. Unless one leaves philosophy and turns to a theology of revelation; but even revelation is conveyed and communicated through narrative witness, with different confessional interruptions. The Talmud tells us there are ten ways to read each line of the Torah, and Christianity was transmitted by four gospel narratives. Again, we are faced with differing versions of carnal or scriptural hermeneutics—from top to bottom, there is no escape. You wager every time you read—the face of the stranger, the text of tradition—and respond.
CDvT: In this sense, you could say that the idea of excess, of the over-man projected onto some sort of “being” that still keeps some anthropomorphic elements, can also be found in political ideologies. In that sense, Marxism might be a replacement for religion.
RK: That is the claim of atheistic secular humanism—a humanism that also includes Nietzsche, Feuerbach, and Bloch. It says that the more-than-human comes only from the human. I would say that the more-than-human also comes to the human. It manifests through the human, but it is not something we own or limit or predetermine. It arrives out of the desert. It is immanent in the human world, but it is not of the human world. That is what we mean by the term “sacred” (in Greek mysterion, meaning blindfolded): something mystical and mysterious in our most mundane experience. We cannot see it with our ordinary eyes, but we can, nonetheless, feel and taste and touch it as coming to us from without—from the holy stranger and the strange. And that experience of the sacred is available to everyone, atheist and theist alike.
CDvT: You mentioned it already, but I find the tension between theism and atheism that can exist in one person a fascinating thing. Take the words of Jesus on the cross. I see a chiasm in the juxtaposition of his two exclamations. “My God, why have you abandoned me” implies that in the address, in the performative, Jesus paradoxically affirms what he denies on the level of signification: God is there, even if Jesus says he has been abandoned by him. As if he is crying for God to help him, to do something—which is impossible, because God has abandoned him. So he is asking for the impossible. In the question, as such, there is something like the possibility of the impossible. And then in the second move, in a kind of symmetrical way, there is also a paradox: “Into your hands I command my spirit.” How could I commend my spirit? Isn’t it the other way around? I need the other—life and death—to take my spirit from me. How could I do it myself? Which spirit, which subject could commend himself to stop living? So there is the chiasm: when Jesus cries out the first time, he is crying for the other, whom he needs but who is absent; in the second cry, he is pretending to be able to do it himself, but can’t: death comes from without. And therefore, he is presupposing the presence of the other.
RK: Again we find the paradox of “ana”: I am abandoned by the other who goes as I consent to the other who comes. God gone, God back again. Fort/Da. I think, in death, we reach a moment of “I am alone.” Everybody dies alone. Nobody can die for you. It is the most singular [eigenst] experience, as Heidegger rightly says. But Heidegger failed to acknowledge the accompanying gesture. The call to the other: where are you? And the response: here I am. This is the second a of ana—the ultimate letting go, the radical openness to the stranger and the strange.
CDvT: In an ultimate sense, I can’t let go of my life because that would presuppose my subject and thus my life. Finally there is something that takes my life. “Take my life, Lord . . .”
RK: But you can consent to that.
CDvT: You can try to be prepared, maybe—by opening yourself to the ultimate moment. But this impossible death experience resonates with
my thoughts on what I would call para-theism: we can’t get rid of God. We cannot be abandoned completely. When we are still crying out, when we are still addressing ourselves to that which is beyond our capacity of comprehension and interpretation, we are not alone—not entirely.
RK: All right. Maybe you can never get rid of God, but you can get rid of the idols that get in God’s way. God goes by many names, as we’ve said, and some of these can be read as pseudonyms, not just the five hundred Hindu names for deities, but even more secular, ontological, and colloquial terms such as mystery, depth, being, ultimate meaning, and chora. Very few people would refuse to admit that there is some deeper dimension to their lives, and further that that dimension—in nature, in particular human beings, in special times, places, spiritual experiences—is “sacred” to them—even if they don’t use the word “God.” Stanislas Breton once wrote that the truth of monotheism—the belief in an unnamable God—is actually polytheism—the belief in multiple names for God. Anatheism is polynymy.
CDvT: Derrida speaks of something like this in his Spectres de Marx…. A ghost is present-in-absence. Or even Lyotard had his philosophy of religion, in which God was the name for the unnamable event, only graspable après coup, nachträglich.
RK: Yes, spectres are something extra, excessive, uncanny, indeed nachträglich. We should go back to Derrida’s reading of Marx to see how eschatological he is. There is something there where humanism mixes with mysticism. I think if you dig down into any great atheist thinker, you’ll find some gap opening to the sacred. The sacred in the broadest sense. It’s like you excavate, and suddenly someone is knocking from the other side. That’s the sacred as secret, because you don’t know who is there. It is a stranger in the dark.
X
CDvT: Shifting gears now from death to birth, we said that anatheism inscribes itself in time—it is immanent. And trauma is irreversible. So what would you make of Christian ideas of rebirth and reconciliation which seem to imply that a blocked situation opens up again?
RK: Well, I think rebirthing—perhaps we could call it “ana-naissance”—is what we are doing all the time. I am all for serial sacramentality. For me, the Eucharist is not some special thing. It is an exemplary liturgy, a paradigm for something that is happening all the time: the sharing of hosts with guests, of bread with neighbors, in a way that makes the simplest morsel of matter into the flesh of the world—the on-going incarnation of word as flesh. Just like what I was saying about birth being a universal baptism of desire. Nobody is excluded from the rite of passage into the holiness of human community. Baptism is just a Christian sacramental way of saying something very simple and applicable to all Christians and non-Christians alike—you go under water to rise again; you die to be reborn. Everyone dies to be reborn. The infant is traumatized by birth—the terror, the cold, the naked air—at the same time as she rises into an epiphany of postnatal life. Death and resurrection are not confined to Christ—they are parts of everyone’s experience, which is why nearly all wisdom traditions have their equivalent version of Christ-figures undergoing transformation through loss and abandonment, finding light through darkness, dying unto self in order to be reborn anew. Think of Siddhartha, Isaiah, Shiva, Chiron, and more.
CDvT: You mean that religion is a staging, an affirmative and reaffirmative mise en scène of original and universal human experiences of natality and mortality? A creative and affirmative hermeneutics of existence? But surely religion does more. It promises reconciliation, forgiveness, peace.
RK: To respond more personally, I see the work of Guestbook as relevant here—as an art of pardon and forgiveness it implies an impossible moment, a wager of hospitality. Pardon is always a wager of trying to break the obstacle of passivity in order for the impossible to come. Now, that may sound very utopian, but it is actually very practical. I believe that if you venture an anatheistic wager, the impossible can become possible in one’s work with others in community. Exchanging stories, changing histories. You cannot do it alone. The AA healing of addiction and trauma is a powerful case in point. The “little miracle of forgiveness” (Ricoeur) can only come through others, through witness, shared testimonies, exchanged narratives, wise elders, sponsors and peers who are prepared to walk part of the way with you. There can be “big miracles” of forgiveness too, of course—think of Esau and Jacob, think of Christ with his thieves and crucifiers, think of Mandela and his jailors, or Hume with the IRA. It can happen, and such healing witness is contagious, whether it be by direct experience or narrative transmission. It can go viral, change the world.
CDvT: Could you say then that “God happens” when the miracle of forgiveness takes place? And maybe also the other way around—from the experience of forgiveness when it is needed, but there is no way to bring it about. Miracle is a condition of possibility of the God call, and vice versa.
RK: The reason why religion should remain anatheistic in its roots is because it should remain true to a faith in real community, not in commodity
fetishes, fads, and fanaticism. By always allowing a moment of a-theist doubt at the heart of anatheist faith one remains immune—or at least resistant—to the lure of fundamentalist idolatries. Being hospitable to the stranger keeps one safe from the totalizing and scapegoating ideologies of collective religious egos.
CDvT: I’m a bit hesitant here. It is not black and white. We need a comfort zone—social habits, rules, and maybe even ideologies. Maybe even some inhospitality. Why? Because otherwise, every single moment and place would be loaded with ethics and sacredness. Then we would lose the sacred, because the sacred—and I believe the same counts for ethical engagement—has its specific places and times. It would be a terrible, undifferentiated life if everything was sacred! If every encounter was ethically charged and we were always all entirely responsible, we would be submerged.
RK: Yes, there are limits, boundaries, finitude. From the point of view of God, if we put it like that, every moment is indeed potentially sacred. But that is not possible for us finite human beings. Walter Benjamin said we should treat each instant as a portal through which the Messiah might enter. Every moment the Messiah is knocking, but most of the time we are just not capable of hearing, seeing, or handling it. Our finitude is such that too much infinity would blow our minds, blind us, traumatize us into speechlessness, strike us dumb. So we can only let in a little at a time. “Through a chink too wide comes in no wonder.” Although I do believe that saints and holy people—and that can include a neighbor down the road—are those who manage to keep the door ajar more than most of us, or at least on the latch! Through prayer, through practice, through service, through giving, through constantly hosting guests and strangers in their lives, they are actually pretty close to holiness, but never totally. I think of people like Jean Vanier, Teresa of Avila, John of the Cross—even they confess to dark nights of the soul. Their own terrible darkness. Theresa of Calcutta went dark too. Every moment cannot be holy even for the holiest of beings. Christ, too, had his Gethsemane. The holy is something constantly ventured, adventured, wagered, and we can’t do it all the time. We can’t be “on” from dawn to dusk. We’d be hypersaturated. We’d burn up. The world is full of wonders and wounds. Epiphanies and traumas. It’s all too much. At times it can be very cruel and hostile. But it has within its cracks and fractures a constant call for hospitality. Epiphany shines through trauma. The thin small voice, the name of “perhaps,” the little God of the possible. Ana-God. The Stranger who comes and goes and comes again.
CHRIS DOUDE VAN TROOSTWIJK is a professor of philosophy, Dutch philosopher and theologian. He is Senior Lecturer and Senior Research Fellow at the Luxemburg School of Religion and Society (Luxembourg) and affiliated researcher and lecturer at the Protestant Theological Faculty of the University of Strasbourg (France). He currently holds the chair for liberal theology at the Mennonite Seminary at the University of Amsterdam (Netherlands). His research and teaching project, “Philosophies, Theologies, and Ethics of Finance,” is a phenomenological hermeneutics of financial crises and monetary antinomies.
Notes
1. Erigena, *Periphyseon*, I, 452 D as quoted in Falque, *God, the Flesh, and the Other: From Irenaeus to Duns Scotus*, 66.
2. Hopkins, “No Worst, There is None. Pitched Past Pitch of Grief.”
3. Breton, “Kearney’s The God Who May Be,” 258.
4. Merleau-Ponty, *The Prose of the World*, 83–84.
5. See Lyotard, *The Inhuman: Reflections on Time*. And Newman, “The Sublime is Now,” 580–582.
6. Derrida, *Psyche 2: Inventions of the Other*, 143–195.
7. See Doude van Troostwijk, “Phrasing God: Lyotard’s Hidden Philosophy of Religion.”
8. Kavanagh, *Collected Poems*, 110.
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The purpose of this paper is to analyze the political and legal doctrines of the Ancient East, as well as define the theoretical value of these doctrines in the development of legal education. It was determined that the state legal thought in China appeared in the period of Shang-Yin civilization, which was formed in the valley of the River Huang He in the fourteenth and thirteenth centuries BC. It is established that the ethical and political tenets of Confucianism and political and legal concept of Legalism formed a traditional Chinese thinking, laid the foundations of the mechanism for law enforcement. The common feature of these two schools was their political orientation – the desire to organize life in Chinese society on “rational”, “fair” basis. However, understanding of these principles was different. The author emphasizes that thinking about the natural origin of law was at first found in Taoism – the philosophical doctrine of the universe and of human society. Already in ancient China, we see a clear orientation of legal consciousness and political culture towards the norms of natural law (Book of Documents (Shujing)) – the idea, which only germinated in ancient Egypt. Basic principles of natural law as natural human equality, the right to exercise the needs in freedom were embodied in the teachings of Zoroaster, Buddhists, Taoists.
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PUBLIC INFORMATION OFFICE JET PROPULSION LABORATORY CALIFORNIA INSTITUTE OF TECHNOLOGY NATIONAL AERONAUTICS AND SPACE ADMINISTRATION PASADENA, CALIF. 91109. TELEPHONE (818) 354-5011
Contact: Diane Ainsworth
FOR IMMEDIATE RELEASE August 16, 1991
Investigations of the sun's fiery outer atmosphere will intensify when the Ulysses spacecraft passes behind the sun on Wednesday, August 21.
Conjunction will occur when the spacecraft and Earth are on opposite sides of the sun. Signals sent from the spacecraft to Earth during this alignment will be distorted by the denser part of the sun's outer atmosphere, known as the corona.
"A spacecraft such as Ulysses, which is slightly above the plane of the Earth's orbit, will appear to pass just above the sun," said JPL's Dr. Edward J. Smith, project scientist for NASA, which is managing the mission jointly with the European Space Agency (ESA). "At conjunction, radio waves transmitted from the spacecraft will travel through and become distorted by the innermost region of the corona."
While interference from the conjunction will temporarily degrade communications with the spacecraft, the alignment will create an ideal situation for radio science experiments, added Dr. Edgar Page, ESA science coordinator.
"The radio signals from Ulysses will pass close to the sun's surface and travel through the dense lower solar atmosphere," Page said. At closest approach, the signals will cross through
the sun's corona at four solar radii -- 2.9 million kilometers or 1.8 million miles -- from the center of the sun.
The Solar Corona Experiment, one of two radio science experiments using the spacecraft's two radio transmitters, will study the density, velocity and turbulence of the solar atmosphere. Dr. Michael Bird of the University of Bonn, Germany, is the experiment's principal investigator.
Scientists are interested in studying the innermost layers of the corona, where gases are particularly thick and dense. Subtle changes in the character of the radio waves reaching Earth from the spacecraft will be examined to provide information on the hot gases through which the waves have passed.
"This radio probing of the corona provides an opportunity to obtain information in solar regions where no spacecraft has flown," Smith said. "The Ulysses flight path is particularly favorable scientifically because the radio waves will travel through a region of the corona in which the solar wind is thought to originate."
"The spacecraft has been placed in a mode to operate autonomously during the conjunction," said Peter Beech, ESA mission operations manager. "The automatic conjunction mode allows the spacecraft to carry out pre-programmed computer instructions necessary to maintain on-board operations."
The mission operations team at Jet Propulsion Laboratory said routine maneuvering of the spacecraft will not be possible for about 15 days during the solar conjunction.
Once the spacecraft has moved away from the sun, ground controllers will reestablish routine commanding and begin to acquire the new data. The Solar Corona Experiment will continue to operate for about two weeks after solar conjunction.
On February 8, 1992, the spacecraft will fly by the planet at closest approach of about 235,000 miles above the cloud tops, using the gravitational pull of Jupiter to swing itself out of the ecliptic plane and onward to the poles of the sun.
Ulysses is presently traveling just above the ecliptic plane -- the plane in which the Earth and sun orbit -- on its way to Jupiter.
Ulysses is a five-year mission to study the poles of the sun, managed jointly by NASA's Office of Space Science and Applications and the European Space Agency. The spacecraft will begin its primary science objectives in June 1994, when it reaches 70 degrees south solar latitude.
#####
Tracking and data collection during the mission are provided by NASA's Deep Space Network, which is managed by the Jet Propulsion Laboratory.
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MANFREDI Extra virgin olive oil
"Manfredi" extra virgin olive oil
Savuto valley, in San Mango d'Aquino and Nocera Terinese, middle Calabria, Italy.
200/500m
Manly carolea
November/December
Mechanical and manual harvesting; pressing within 12 hours after collection; cold pressed (below 27°C).
It has a fruity aftertaste and a green color with golden highlights. It is absolutely pure and genuine. Its organoleptic qualities make it irreplaceable when enriching enhancing the flavor of savoury dishes.
Bottle of 1L, tin of 5L
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Manfredi Filippo Loc. Trearie 88040, San Mango D'Aquino P.Iva: 01745920791 C.F.: MNF FPP 66D14 Z401J Tel./fax +30 0968 96596 - Tel. [email protected] www.olariamanfredi.com
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BICO GROUP SUPPLIER
Code of Conduct
1 Introduction
BICO Group AB (publ), CRN 559050-5052, is the parent company of a group of companies (the “BICO Group”), which consists of several subsidiaries and is divided into three business areas: Bioprinting, Biosciences and Bioautomation. The BICO Group consists of the companies found on the BICO Group webpage; www.bico.com. Together, the BICO Group provides technology, products and services to create, understand and master biology which contribute to shaping the future of health.
The whole BICO Group is committed to the Ten Principles of the United Nations Global Compact, treating all workers with respect and dignity, ensuring safe working conditions, and conducting environmentally responsible, ethical operations. As a supplier to any company within the BICO Group, you are an essential part of the BICO Group structure and therefore we expect you and your suppliers to also commit to the following social, environmental, and ethical responsibilities.
2 Human rights and Labor conditions
The BICO Group is committed to supporting the protection of internationally proclaimed human rights of workers and treating them with respect and dignity. This applies to all workers, including, but not limited to, temporary, student, migrant, contract, direct employee, and any other type of worker. Supplier shall conduct its business and operations in a way that it is possible to identify, prevent, mitigate and account for negative human rights impacts.
2.1 Modern slavery and forced labor
Supplier is expected to prevent any involvement in any forms of modern slavery and forced labor throughout its supply chain by having adequate policies, risk assessment and due-diligence processes in place. All work should be voluntary on the part of the employee and the supplier as an employer must provide all employees with a written contract in a language they understand clearly, indicating all employment terms and conditions.
2.2 Child labor
Supplier must ensure that child labor is not used in any performance of any work. "Child" means any person under the minimum legal age for employment where the work is performed, and/or the minimum working age defined by the International Labor Organization (ILO), whichever is greatest. All workers under the age of 18 shall not be exposed to work that is likely to harm their health, physical, mental, social, spiritual, or moral development.
2.3 Working hours and leave
Supplier is expected to comply with applicable laws and ILO standards regulating working hours and leave, maintaining reasonable working hour schedules for its employees and providing a rest period of at least 24 consecutive hours in every week. All hours worked beyond the default schedule shall be voluntary and the collective bargaining agreements shall be respected.
2.4 Wages and benefits
All supplier’s employees must receive at least the minimum wage required by local laws and provide all legally requisitioned benefits. In addition, supplier must always comply with the collective bargaining agreements and provide its workers with information regarding their employment terms and conditions in a language spoken by them. We encourage suppliers to adopt a fair payment structure that matches the employee skills.
2.5 Non-discrimination and fair treatment
The supplier must ensure that all employees are treated with dignity and respect, eliminating discrimination in respect of employment and occupation, providing equal employment conditions and opportunities based on each worker’s skills and experiences, not discriminating any job applicants based on race, color, age, sex, gender, gender identity, gender expression, sexual orientation, marital status, ethnicity, national origin, caste, disability, genetic information, medical condition, pregnancy, religion, political affiliation, union membership, covered veteran status, body art, among others. Workers’ religious practices will be reasonably accommodated. Suppliers must prevent any involvement in any kind of harassment, abuse, corporal punishment or inhumane treatment.
2.6 Freedom of association and collective bargain
All employees shall have the right to associate freely, seek representation and bargain collectively in accordance with local laws. Supplier is expected to respect the rights of workers to communicate openly, making possible for all employees to share grievances with management about labor conditions with no fear of harassment.
BICO Group Supplier Code of Conduct | 7
3 Information protection
3.1 Sensitive, confidential and proprietary information protection
All sensitive, confidential and proprietary information must be protected in an efficient manner by the supplier and it is crucial that supplier complies with all data privacy laws and regulations.
The supplier shall respect BICO Group and others confidential information and intellectual property, including personal data/information, from mishandling, misuse, theft, counterfeit, fraud or any improper disclosure, including diminishing risk to digital systems and documents by executing appropriate IT cyber security programs, using encryption and strong passwords. IT suppliers should provide work, services, tasks and deliverables in compliance with the agreed industry standards and practices, which may include some of the following: ISF Standard of Good Practices for Information Security and ISO 27001, ISO 27002, ISO 22301, ISO 22313 and ISO 27031 standards.
In case of any data breach or suspicion of security incident, all suppliers are expected to communicate with the BICO Group or the appropriate BICO Group company in a rapidly attitude.
3.2 Intellectual property
The compliance with all applicable laws regarding intellectual property and protection against disclosure is required from all suppliers.
4 Environment, health and safety
4.1 EU Goals for sustainability
The EU Sustainable Development Goals (SDGs) aim to end poverty and inequality, protect the planet and ensure that all people enjoy health, justice and prosperity. Since 2015, all countries in the United Nations adopted the 2030 Agenda for Sustainable Development. All BICO Group companies are working in order to reach these goals and our suppliers are expected to act in a similar way, so that together we help in transforming our world for the better.
4.2 Environmental, health & safety management system
Considering the environmental risks normally present in a business operation, we expect the supplier to conduct its activities aiming to minimize these risks. It is desirable that the supplier establishes an adequate environment management system (such as ISO14001 or comparable), adheres to policies and procedures to embrace environmental aspects into its operations, supply chain and products.
A health and safety management system (such as ISO42001 or comparable) is also advisable to be implemented by the supplier, as well as policies pursuing the protection of health, safety and welfare of employees, contractors, visitors among others that may be affected by their occupation. The working environment must be under good sanitary conditions and the supplier should take reasonable measures to secure that worker’s performance and safety is not compromised by controlled substances, alcohol, legal and illegal drugs.
4.3 Substances and chemical management
Any potentially hazardous substances in chemical products and articles used in supplier’s products must be identified as such by supplier. The supplier must ensure that these substances are handled, transported, stored, recycled and disposed of safely.
4.4 Sustainable product and process development
Sustainability is a key indicator in the BICO Group supplier qualification and suppliers are expected to make their best effort to develop, manufacture and deliver innovative products and processes with the lowest possible environmental impact. The aspiration is that the supplier should reduce its climate change impact, use energy, water and natural resources in an efficient manner, reduce waste and use of hazardous materials, utilize reusable and/or recycled packaging material and manage its air emissions.
5 Governance and management system
Employees and third parties must be able to seek advice or raise ethical or legal concerns without fear of retaliation through adequate reporting channels such as a whistle-blower platform or anonymous hotline. If a report is made, the supplier is expected to address those cases in an ethical manner and prevent retaliatory actions.
6 Product safety
BICO Group companies are shaping the future of health and for that reason we expect that all suppliers ensure that their products and services follow maximum quality and safety standards. Any accident/incident that may result in any product safety issues must be reported by the suppliers immediately in order to avoid the sale or use of a faulty product by any BICO Group company or its distributors.
7 Business ethics
7.1 Anti-corruption laws
All anti-corruption laws and regulations applicable to the supplier’s obligations towards the BICO Group must be observed and complied with. It is also desirable that the supplier establishes a compliance program aiming to mitigate the existing risks of its activities and to prevent corruption in different situations such as commercial contracts, partnerships, projects, and the use of contractors or similar. The supplier shall not be involved with, endorse nor tolerate any form of bribery or corruption, directly or indirectly and no improper benefit shall be offered or accepted by any of its employees and representatives.
7.2 Illegal payments
No illegal payments or anything of value from any customer, supplier, representatives, agents, government officials, political parties or others must be offered or accepted by the supplier and/or its employees. “Illegal payments” includes payments aiming to expedite or secure performance of a routine governmental such as customs clearances or visa expedition, with exception of formal legal governmental fees for such services.
It is expected that the supplier restrains its employees from equal or similar conduct in order to gain improper advantage, even in areas where such behavior may not violate local regulations or laws.
7.3 Competition and antitrust
Supplier shall respect and comply with all applicable anti-trust, competition and fair-trade laws and regulations and shall not enter into any anti-competitive arrangements like illegal price-fixing, limiting supply or allocating/controlling markets or any other illegal restrictive practices that would restrain or impact competition.
A young woman with curly hair is standing in a field, reaching out towards the sky. She is wearing a white dress and has purple eyeshadow. The background is blurred, showing a cloudy sky and some trees.
7.4 Gifts and courtesies
It is desirable that the supplier achieves its business goals based on its products and services quality and performance and the use of gifts and courtesies aiming to reach competitive advantage will not be tolerated by any of the companies in the BICO Group. Whenever offering or receiving a gift or business courtesy in any business relationship, the supplier is responsible to make sure that such conduct is consistent with reasonable marketplace customs, allowed by applicable laws and regulations and that such act does not infringe the rules and standards of the recipient’s organization. Under no circumstances the acceptance or offering of cash gifts or cash equivalent should be authorized.
7.5 Insider trading
Any material or non-publicly information disclosed by any employee of the BICO Group to the supplier must not be used for trading or empower third parties to trade in the stock or securities of any company.
7.6 Conflict of interest
Aiming to demonstrate that the supplier is a reliable and honest partner, doing business in a transparent and open manner is crucial, avoiding situations where private, financial or other external interests conflict with supplier’s work responsibilities. If any BICO Group employee or anyone performing a work for the BICO Group may have a personal interest of any kind in the supplier’s business or any kind of financial link with the supplier, this situation must be communicated to the BICO Group and all affected parties through one of the available reporting channels found on the BICO Group webpage; www.bico.com under Whistleblower.
Version: 1.0 | Policy Owner: Legal | Amendment: Inaugural | Effective: 29 September 2021
Approved by: Executive Management BICO Group AB (publ)
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Exam 3 will cover the following topics. All topics covered by Quizzes 1-8 and Exams 1,2. These topics include quadratic inequalities, functions and their graphs, inverse functions, exponents and logarithms, limits, differentiation by using the definition, the sum rule, the constant multiplier rule, the generalized power rule, the product rule, chain rule and quotient rule, derivative of trigonometric, exponential and logarithmic functions, and applications of the derivative: increasing and decreasing functions, relative and absolute extrema, concavity and points of inflection, optimization, tangent lines, related rates, and antiderivatives.
The statement and proof of theorems will also be covered on the exam.
Students must be able to correctly state the following theorems:
Intermediate Value Theorem, Rolle’s Theorem, Mean Value Theorem, Second Derivative Test.
Students must be able to prove the following theorems: differentiating functions using the definition (limit of the differential quotient). These include $\sin x$, $\cos x$, $\log_a x$, $a^x$. If a function is differentiable at a number $x$, then it is continuous there. The product rule for derivatives.
## Review Problems
1. a) Consider $f(x) = \frac{x+4}{3x-5}$. Find the equation for the inverse of $f$, $f^{-1}(x)$.
b) Graph $y = f(x)$.
c) Find the range of $f$.
2. Find each of the following limits.
a) $\lim_{x \to 1^+} \frac{x^2 - 1}{x^2 - 3x + 2}$
d) $\lim_{x \to \infty} \frac{-x^3 + 2x + 1}{x - 3}$
g) $\lim_{x \to 0} \frac{\sqrt{16+x} - 4}{x}$
j) $\lim_{x \to \infty} \left(1 + \frac{2}{x}\right)^x$
b) $\lim_{x \to 2^+} \frac{x^2 - 1}{x^2 - 3x + 2}$
e) $\lim_{x \to 3} \frac{x^2 - 3x}{x^2 - 9}$
h) $\lim_{x \to 0} \frac{\tan x}{x}$
k) $\lim_{x \to \infty} \frac{3 + 2\ln(x^3)}{2 - \ln 7x}$
c) $\lim_{x \to \infty} \frac{2x^2 + 3x + 1}{3x^2 - 5x + 2}$
f) $\lim_{x \to 3^+} \frac{x^2 + 3x}{x^2 - 9}$
i) $\lim_{x \to 7} \frac{\sqrt{x+2} - 3}{x - 7}$
l) $\lim_{x \to \infty} \frac{3 \cdot 2^{2x-1}}{5 \cdot 3^{x+2}}$
3. Find the inverse for each of the following functions.
a) $f(x) = \sqrt[3]{3x - 5}$
b) $f(x) = 2^{3x-1} + 1$
c) $f(x) = 2\ln(x + 8)$
4. Differentiate each of the following.
a) $f(x) = 7^x - x^7 + \sqrt{7x} - e^7$
d) $f(x) = \frac{8x^2 - 20x + 1}{4x - 10}$
h) $f(x) = \tan(3x)$
b) $f(x) = \frac{e^x - e^{-x}}{2}$
e) $f(x) = \log_x(x^2 + 1)$
i) $f(x) = \frac{1}{1 + x^6}$
c) $f(x) = \frac{1}{4}xe^{4x} - \frac{1}{16}e^{4x}$
g) $f(x) = \log_5\left(\sqrt[3]{5x^3 - 7x^2 + 8}\right)$
j) $f(x) = \frac{5^{2x-1}}{5^{x-4}}$
5. Find the second derivative for the function $f(x) = \frac{5x - 1}{5x + 1}$.
6. Find all values of $x$ for which the tangent line drawn to the graph of $f(x) = \frac{1}{2}x^2 - \ln x + 8$ is perpendicular to $x + 2y = -7$.
7. For each of the following functions, answer the following questions.
i) For what interval(s) is $f$ increasing and decreasing?
a) $f(x) = x^3 - 3x^2 - 9x + 5$ on \([-4, 5]\)
ii) Find both coordinates of all relative extrema.
iii) Find both coordinates of all absolute extrema.
iv) For what interval(s) is $f$ concave up and concave down?
v) Find both coordinates of all points of inflection.
vi) Sketch the graph of the function.
b) $f(x) = x(x-4)^4$ on \([-1, 5]\)
c) $f(x) = x^3e^{2x}$ on \([-2, 1]\)
8. Compute each of the following indefinite integrals.
a) $\int \frac{x-3}{x+2} \, dx$
d) $\int x^5 - 2ax - a^2 \, da$
g) $\int \sin 5x \, dx$
j) $\int (3x-5)^{10} \, dx$
b) $\int x^2 + x + 1 + \frac{1}{x} + \frac{1}{x^2} \, dx$
e) $\int e^{2x} \, dx$
h) $\int \frac{2x-1}{x+3} \, dx$
k) $\int \sqrt{7x+1} \, dx$
c) $\int x^5 - 2ax - a^2 \, dx$
f) $\int 5^x - x^5 \, dx$
i) $\int 5^{2x-3} \, dx$
l) $\int \frac{3}{\sqrt[3]{x^4}} \, dx$
9. Find the equation of $F(x)$ if $F'(x) = 10x^4 - 6x^2 + 4x - 5$ and $F(-1) = 8$.
10. An object is moving along a vertical line. Its acceleration, as a function of time, is $a(t) = 24t - 10$. After 5 seconds, the velocity of the object is $v(5) = -20$ and its height is $h(5) = 25$.
a) Find the velocity function $v(t)$.
b) Find the location function $h(t)$.
11. Graph the location function $h(t)$ of an object if $h(0) = 0$ and the velocity function, $v(t)$, is given on the graph given. Compute $h(2)$, $h(4)$, $h(5)$, $h(7)$, and $h(9)$.
12. We want to build a flowerbed in shape of a circular sector. If the perimeter is to be 20 feet, what radius and central angle would guarantee the maximal area for this flowerbed?
13. A box manufacturer desires to create an open box with a surface area of 30 ft$^2$. What is the maximum size volume that can be formed by bending this material into a box? The box is to have a square base and rectangular sides.
14. Let $ABCD$ be a unit square. Find the coordinates of point $P$ on line segment $CD$ so that the perimeter of triangle $ABP$ is
a) minimal
b) maximal.
15. Let $P(x, y)$ be a point on the graph of $y = -x^2 + 1$ with $0 \leq x \leq 1$. Let $PQRS$ be a rectangle with one side on the $x$-axis and two vertices on the graph, as shown on the picture below. Find the exact value of the greatest possible area of such a rectangle.
16. Find two non-negative numbers $x$ and $y$ for which $2x + y = 30$, such that $x^5y^3$ is maximized.
17. Find an equation of the tangent line drawn to the graph of $f(x) = \frac{1}{(3x-1)^2}$ at $x = 1$.
18. Which point on $y = 1 - x^2$ is closest to the origin?
19. We have $P$ meters of fencing and want to create three adjacent rectangular enclosings as shown on the figure. What is the maximal area we can enclose this way?
20. Suppose that $g$ is a function with $g(5) = 2$ and $g'(5) = -3$. Compute $f'(5)$ if $f(x)$ is defined as
a) $f(x) = [g(x)]^4$
b) $f(x) = \ln(g(x))$
c) $f(x) = \frac{1}{g(x)}$
d) $f(x) = \sqrt{g(x)}$
21. Find the exact values of $a$ and $b$ so that the curve $y = x^2 + ax + b$ will be tangent to the line $y = 2x + 1$ at the point $(1, 3)$.
22. Find a polynomial function $P(x)$ such that $P$ is of degree four (or less) and $f(0) = P(0)$, $f'(0) = P'(0)$, $f''(0) = P''(0)$, $f'''(0) = P'''(0)$, and $f^{(4)}(0) = P^{(4)}(0)$ if $f(x)$ is defined as
a) $f(x) = \sin x$
b) $f(x) = e^{-x/2}$
23. Suppose that $f$ is a function with derivative $f'(x) = (9 - x^2)(x + 2)^2(x - 3)(1 - x)x$
a) Graph $f'$
b) Find all $x$ for which $f$ has a relative maximum.
c) Find all $x$ for which $f$ has a relative minimum.
d) How many points of inflection does $f$ have?
e) Plot the graph of $f$ in the same coordinate system with $f'$.
f) Is it possible that $f$ does not have any $x$-intercept?
g) Graph $f''$ in the same coordinate system with $f'$.
24. Consider the function $f(x) = (x - 1)^{10}(4 - x)^5$. Find all values of $x$ for which $f$ has a
a) a relative maximum
b) a relative minimum
c) a point of inflection.
25. Car A is traveling west at $40 \frac{\text{mi}}{\text{h}}$ and car B is traveling north at $45 \frac{\text{mi}}{\text{h}}$. Both are headed for the intersection of the two roads. At what rate are the cars approaching each other when car A is 0.3 mi and car B is 0.4 mi from the intersection?
26. A company finds that if $x$ is the amount of money spent on research and $y$ is the amount of money spent on advertising, then they can make a profit of $\sqrt[4]{xy}^3$. The company has $50\,000$ to spend on these two activities. How much money should the company spend on research and on advertising to maximize its profit?
27. A company finds that if they produce $q$ units of a product, then they can sell them all at a price of $p(q) = \sqrt{6300 - 0.02q}$. What production level would guarantee the maximum revenue?
28. At a distance of 12000 meters from the launch site, a spectator is observing a rocket being launched vertically. What is the speed of the rocket at the instant when the distance of the rocket from the spectator is 13000 meters and is increasing at the rate of 480 meters per second?
29. Give a complete analysis of the function $f(x) = x\sqrt{1 - x^2}$
30. Each side of a square is increasing at a rate of $6 \frac{\text{cm}}{\text{s}}$. At what rate is the area of the square increasing when the area of the square is 25 cm?
1.) a) \( f^{-1}(x) = \frac{5x + 4}{3x - 1} \)
b) see next
c) \( y \neq \frac{1}{3} \)
2.) a) \(-2\) b) \(\infty\) c) \(\frac{2}{3}\) d) \(-\infty\) e) \(\frac{1}{2}\) f) \(\infty\) g) \(\frac{1}{8}\) h) 1 j) \(e^2\) h) \(-6\) l) \(\infty\)
3.) a) \( f^{-1}(x) = \frac{x^7 + 5}{3} \) b) \( f^{-1}(x) = \frac{1}{3} (\log_2 (x - 1) + 1) \) c) \( f^{-1}(x) = e^{x/2} - 8 \)
4.) a) \( 7^x \ln 7 - 7x^6 + \frac{7}{2\sqrt{7x}} \) b) \( \frac{e^x + e^{-x}}{2} \) c) \( xe^{4x} \) d) \( \frac{8x^2 - 40x + 49}{4x^2 - 20x + 25} = 2 - \frac{1}{(2x - 5)^2} \)
e) \( \frac{2x \ln x}{x^2 + 1} - \ln (x^2 + 1) \left( \frac{1}{x} \right) = \frac{2x}{\ln x (x^2 + 1)} - \frac{\ln (x^2 + 1)}{x (\ln x)^2} \) f) \( \frac{1}{x \ln x} - \frac{15x^2 - 14x}{3 \ln 5 (5x^3 - 7x^2 + 8)} \)
h) \( 3 \tan^2 3x + 3 = \frac{3}{\cos^2 (3x)} \) i) \( \frac{-6x^5}{(x^6 + 1)^2} \) j) \( \ln 5 \cdot 5^{x+3} \) 5.) \( -\frac{100}{(5x + 1)^3} \) 6.) \( 1 + \sqrt{2} \)
7.) a) \( f(x) = x^3 - 3x^2 - 9x + 5 \) on the interval \([-4, 5]\)
i) \( f \) increases on \((-4, -1)\), decreases on \((-1, 3)\), and increases on \((3, 5)\)
ii) rel. min: \((3, -22)\), rel. max: \((-1, 10)\)
iii) abs. min: \((-4, -71)\) abs max: \((-1, 10)\) and \((5, 10)\)
iv) concave down on \((-4, 1)\) and concave up on \((1, 5)\)
v) point of inflection: \((1, -6)\)
b) \( f(x) = x(x - 4)^4 \) on the interval \([-1, 5]\)
i) increases on \(\left(-1, \frac{4}{5}\right)\), decreases on \(\left(\frac{4}{5}, 4\right)\), and increases on \((4, 5)\)
ii) rel. min: \((4, 0)\), rel. max: \(\left(\frac{4}{5}, 83.886\right)\)
iii) abs. min: \((-1, -625)\), abs. max: \(\left(\frac{4}{5}, 83.886\right)\)
iv) concave down on \(\left(-1, \frac{8}{5}\right)\) and concave up on \(\left(\frac{8}{5}, 5\right)\)
v) point of inflection: \(\left(\frac{8}{5}, 53.084\right)\)
c) \( f(x) = x^3 e^{2x} \) on \([-2, 1]\)
i) \( f \) decreases on \((-2, -\frac{3}{2})\) and increases on \(\left(-\frac{3}{2}, 1\right)\)
ii) rel. min: \(\left(-\frac{3}{2}, -\frac{27}{8} e^{-3}\right)\) there is no rel. max.
iii) abs. min: \(\left(-\frac{3}{2}, -\frac{27}{8} e^{-3}\right)\) abs max: \((1, e^2)\)
iv) concave up on \(\left(-2, \frac{-3 + \sqrt{3}}{2}\right)\) concave down on \(\left(\frac{-3 + \sqrt{3}}{2}, 0\right)\), and concave up on \((0, 1)\)
v) pts of inflection: \(\left(\frac{-3 + \sqrt{3}}{2}, -0.071705\right)\), and \((0, 0)\)
8.) a) \( x - 5 \ln |x + 2| + C \)
b) \( \frac{x^3}{3} + \frac{x^2}{2} + x + \ln x - \frac{1}{x} + C \)
c) \( \frac{x^6}{6} - ax^2 - a^2 x + C \)
d) \( x^5 a - xa^2 - \frac{a^3}{3} + C \)
e) \( \frac{1}{2} e^{2x} + C \)
f) \( \frac{5^x}{\ln 5} - \frac{x^6}{6} + C \)
g) \( -\frac{1}{5} \cos 5x + C \)
h) \( 2x - 7 \ln |x + 3| + C \)
i) \( \frac{5^{2x-3}}{2 \ln 5} + C \)
j) \( \frac{(3x - 5)^{11}}{33} + C \)
k) \( \frac{2}{21} (7x + 1)^{3/2} + C \)
l) \( 7x^{3/7} + C \)
9.) \( F(x) = 2x^2 - 5x - 2x^3 + 2x^5 + 1 \)
10.) a) \( v(t) = 12t^2 - 10t - 270 \)
b) \( h(t) = 4t^3 - 5t^2 - 270t + 1000 \)
11.) \( h(2) = -4, \ h(4) = -8, \ h(5) = -7, \ h(7) = -3, \ h(9) = -1 \)
12.) \( \frac{P}{4} = r \) and \( \theta = 2 \text{ rad} \)
13.) \( 5\sqrt{10} \)
14.) a) \( \left(\frac{1}{2}, 1\right) \)
b) \((1, 0)\) and \((1, 1)\)
15.) \( \frac{4}{9} \sqrt{3} \)
16.) \( x = \frac{75}{8} \ y = \frac{45}{4} \)
17.) \( y = -\frac{3}{4} x + 1 \)
18.) \(\left(-\frac{\sqrt{6}}{2}, -\frac{1}{2}\right)\) and \(\left(\frac{\sqrt{6}}{2}, -\frac{1}{2}\right)\)
19.) \( \frac{P^2}{32} \)
20.) a) \(-96\)
b) \(-\frac{3}{2}\)
c) \(\frac{3}{4}\)
d) \(-\frac{3\sqrt{5}}{10}\)
21.) \( a = 0, b = 2 \)
22.) a) \( x - \frac{1}{6} x^3 \)
b) \( 1 - \frac{1}{2} x + \frac{1}{8} x^2 - \frac{1}{48} x^3 + \frac{1}{384} x^4 \)
23.) a) see below b) 0 c) $-3, 1$ d) 6 e) see below f) yes g) see below
24.) a) 3 b) 1 c) $3 - \frac{1}{\sqrt{7}}, 3 + \frac{1}{\sqrt{7}}, 4$
25.) 60 mi/h
26.) $12500 on research and $37500 on advertising.
27.) 210000 units
28.) 1248 meters per second
29.) $f(x) = x\sqrt{1-x^2}$
$f'(x) = \frac{-2x^2 + 1}{\sqrt{1-x^2}}$
$f''(x) = \frac{2x^3 - 3x}{(1-x^2)^{3/2}}$
domain: $[-1, 1]$ range: $\left[-\frac{1}{2}, \frac{1}{2}\right]$; continuous on $[-1, 1]$; bounded; no asymptotes; $y-$intercept: $(0, 0)$;
$x$-intercepts: $(-1, 0), (0, 0),$ and $(1, 0)$
decreasing on $\left(-1, -\frac{\sqrt{2}}{2}\right)$ and $\left(\frac{\sqrt{2}}{2}, 1\right)$, increasing on $\left(-\frac{\sqrt{2}}{2}, \frac{\sqrt{2}}{2}\right)$
relative and absolute minimum: $\left(-\frac{\sqrt{2}}{2}, -\frac{1}{2}\right)$, relative and absolute maximum: $\left(\frac{\sqrt{2}}{2}, \frac{1}{2}\right)$
concave up on $(-1, 0)$, concave down on $(0, 1)$, point of inflection: $(0, 0)$
odd; $\lim_{x \to -\infty} f(x)$ and $\lim_{x \to \infty} f(x)$ are both undefined
30.) 60 cm²/s
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A $BV$ Functional and its Relaxation for Joint Motion Estimation and Image Sequence Recovery
Sergio Conti, Janusz Ginster, and Martin Rumpf
Abstract
The estimation of motion in an image sequence is a fundamental task in image processing. Frequently, the image sequence is corrupted by noise and one simultaneously asks for the underlying motion field and a restored sequence. In smoothly shaded regions of the restored image sequence the brightness constancy assumption along motion paths leads to a pointwise differential condition on the motion field. At object boundaries which are edge discontinuities both for the image intensity and for the motion field this condition is no longer well defined. In this paper a total-variation type functional is discussed for joint image restoration and motion estimation. This functional turns out not to be lower semicontinuous, and in particular fine-scale oscillations may appear around edges. By the general theory of vector valued $BV$ functionals its relaxation leads to the appearance of a singular part of the energy density, which can be determined by the solution of a local minimization problem at edges. Based on bounds for the singular part of the energy and under appropriate assumptions on the local intensity variation one can exclude the existence of microstructures and obtain a model well-suited for simultaneous image restoration and motion estimation. Indeed, the relaxed model incorporates a generalized variational formulation of the brightness constancy assumption. The analytical findings are related to ambiguity problems in motion estimation such as the proper distinction between foreground and background motion at object edges.
1 Introduction
In computer vision, the accurate computation of motion fields in image sequences—frequently called optimal flow estimation—is a long standing problem, which has been addressed extensively. For a general overview on optical flow estimation we refer to the survey by Fleet and Weiss [22]. We consider an image sequence given via a grey value map
$$u : (0, T) \times \Omega \to \mathbb{R} ; \quad (t, x) \mapsto u(t, x)$$
on a space time domain $D := (0, T) \times \Omega$, where $\Omega$ is a bounded Lipschitz domain in $\mathbb{R}^d$ for $d = 1, 2, 3$. To begin with, we suppose that motion is reflected by the image sequence
and that image points move according to a velocity field \( v : D \to \mathbb{R}^d \). Hence, constancy of grey values \( u(t, x(t)) \) along motion trajectories \( t \mapsto x(t) \) with \( \dot{x}(t) = v(t, x(t)) \) leads to the transport equation
\[
0 = \frac{\mathrm{d}}{\mathrm{d}t} u(t, x(t)) = \partial_t u(t, x) + \nabla_x u(t, x(t)) \cdot v(t, x(t))
\]
(1.1)
as a constraint equation for the unknown velocity field \( v \). This constraint equation is generally known as the brightness constancy constraint and for the space time motion field \( w = (1, v) \) it can be rewritten as \( \nabla u(t, x) \cdot w(t, x) = 0 \). Here and in what follows \( \nabla = (\partial_t, \nabla_x) \) denotes the space time gradient. This condition gives us pointwise one constraint for \( d \) unknown velocity components. Indeed, only the component of the velocity orthogonal to isolines of the grey value can be computed from equation (1.1), which leads to an illposed problem known as the aperture problem. Nagel and Otte [37] and Tristanelli [47] suggested to consider second derivatives, i.e. \( \frac{d}{dt} \nabla_x u(t, x(t)) = 0 \) along motion trajectories \( t \mapsto x(t) \) leads to \( \partial_t \nabla_x u + \nabla_x^2 u \cdot v = 0 \) so that, if \( (\nabla_x^2 u)(t, x) \) is invertible, \( v(t, x) \) can be computed. Similarly, in more geometric terms the motion field can be described via temporal variations of the shape operator on level sets as proposed by Guichard [26]. Since second derivatives are involved, these pointwise approaches are vulnerable to noise and hence of difficult practical usability. Based on the assumption that the image intensity \( u \) varies on a finer scale than \( v \), one might assume \( v \) to be locally constant and accumulate locally different constraint equations to estimate \( v \). This dates back to the early work by Lucas and Kanade [34, 49] or the structure tensor approach [8], which minimizes the local energy functional \( \int_D \omega(t - s, x - z)(\nabla u(s, z) \cdot v(t, x))^2 \, \mathrm{d}z \, \mathrm{d}s \) for a local window function \( \omega(\cdot, \cdot) \).
This paper aims at consistently treating the general case with basically two different types of representations of motion in image sequences:
- mostly smooth motion visible via spatial variations of object shading and texture and their transport in time,
- motion represented by moving object edges, frequently characterized by discontinuities in the motion velocity apparent at edges of moving objects.
The local approaches mentioned above are able to estimate the first type of motion and offer relatively high robustness with respect to noise but in general they do not lead to dense flow fields and fail to identify motion information concentrated on edges. Global variational approaches were initiated by the work of Horn and Schunck [28]. They considered minimizers of the energy functional \( \int_D |\nabla u \cdot w|^2 + \alpha |\nabla v|^2 \, \mathrm{d}x \, \mathrm{d}t \) implicitly assuming the optical flow field \( v \) to be smooth. A rigorous numerical analysis for a finite difference discretization of the Horn–Schunck approach was performed by Le Tarnec et al. [33]. Nagel and Enkelmann [36] proposed to use an anisotropic regularization term with a smaller penalization for variations of \( v \) in normal direction across edges. With a focus on real world applications, Weickert et al. [49] proposed a combination of local flow estimation and global variational techniques to combine the benefits of robustness and
dense field representation, respectively. For a detailed analysis of the occlusion problem associated with the estimation of object motion we refer to the joint approach for motion estimation and segmentation by Kanglin and Lorenz [30]. Ito [29] suggested to treat the optical flow estimation in terms of an optimal control formulation. Brune et al. [12] used the optimal control paradigm to estimate intensity and motion edges in image sequences.
Before discussing total variation type approaches for motion estimation — to which our method belongs — we investigate a basic but already characteristic optical flow problem.
**A simple model problem.** Suppose an object $\mathcal{O}$ with a shading or texture intensity map $u_1$ is moving with spatially constant velocity $v_1$ on a background with shading and texture intensity map $u_2$, which is itself moving with constant velocity $v_2$. Thus, the observed image sequence is given by
$$u(t,x) = \chi_{\mathcal{O}}(x-tv_1)u_1(x-tv_1) + (1-\chi_{\mathcal{O}}(x-tv_1))u_2(x-tv_2), \quad (1.2)$$
where $\chi_{\mathcal{O}}$ denotes the characteristic function of the object domain $\mathcal{O}$. Trying to retrieve the object and the two velocities $v_1$, $v_2$ from the image sequence one observes the following:
(i) If both image intensities $u_1$ and $u_2$ are constant the role of foreground and background can be flipped, i.e. either the object $\mathcal{O}$ or its complement $D \setminus \mathcal{O}$ is moving with speed $v = v_1$, whereas the background velocity $v_2$ obviously cannot be determined.
(ii) If both shading or texture intensity maps $u_1$ and $u_2$ are smooth and locally allow the computation of $v_1$ and $v_2$ from (1.1), the decision on foreground and background is associated with the consistency of one of the velocities $v_i$ ($i=1,2$) with the motion of the interface. Thereby, consistency is expressed in terms of the singular counterpart $n \cdot w_i = 0$ of (1.1), where $w_i = (1,v_i)$ and $n$ denotes the space time normal on the interface, which coincides with the jump set $J_u$ of the image function $u$ from (1.2).
(iii) If neither $u_1$ nor $u_2$ is consistent with the motion of the jump set $J_u$ then the object is undergoing a more complex evolution than just a rigid motion, e.g., growth or shrinkage.
In the general case, beyond this simple model problem, at each point on the jump set $J_u$ of the space time intensity map $u$ one should compare the values of the velocity $v^+$ and $v^-$ on the two sides with the space time interface normal $n$ on $J_u$ to decide on the actual local motion pattern. Hence, we are interested in a variational approach which explicitly incorporates this local consistency test, where the motion data $v^+$ and $v^-$ on the two sides are determined either via local shading or texture data or from a global relaxation principle taking into account far field motion data.
The space of functions of bounded variation ($BV$) allows to describe configurations with singularities of codimension one, i.e. edge-type jump sets. Total variation regularization was first introduced in image processing by Rudin, Osher, and Fatemi [45].
Cohen [15] proposed to replace the usual quadratic regularization in the above motion estimation approaches by a $BV$ type regularization $\int_\Omega |\nabla v| \, dy$. A more general convex regularizer with linear growth was investigated by Schnörr and Weickert [50]. A broader comparison of different regularization techniques in imaging and a discussion of suitable quasi-convex functionals was given by Hinterberger et al. [27]. In particular they considered a $W^{1,p}$-approximation of $BV$ type functionals. Papenberg et al. [40] investigated a $TV$ regularization of the motion field and an optical flow constraint involving higher order gradients. In their pioneering paper Chambolle and Pock [14] suggested a duality approach for nonsmooth convex optimization problems in $BV$ and discussed as one application the $TV$ motion estimation problem. An improvement of the original ansatz was suggested by Wedel et al. [48] and an efficient implementation of this primal dual optimization approach to optical flow estimation was presented recently by Sánchez et al. [46].
The approach by Aubert and Kornprobst [6] is closely related to ours. They considered for $d = 2$ the energy functional
$$E[v] = \int_D |\nabla u \cdot (1, v)| + \phi(\nabla v) + \alpha_v |v|^2 \, dx \, dt,$$
extended to the space of velocity fields of bounded variation, where $u$ is a fixed image intensity map in $L^\infty \cap SBV$ and $\phi : \mathbb{R}^2 \to \mathbb{R}$ a function with linear growth. They discussed the following fundamental problem. On the jump set $J_u$ of $u$, representing the space time edge surfaces, the singular part of the gradient $Du$ is only a Radon measure and in the generic case of moving objects one expects a significant overlap of $J_u$ with the jump set $J_v$ of the motion field $v$. Thus, it is unclear how to define $Du \cdot w$. This is indeed a recasting of the above observation (ii) in the context of the theory of functions with bounded variation. Aubert and Kornprobst considered a locally averaged evaluation of the motion field, and they finally studied the relaxation of the above functional in $BV$. In the case of Lipschitz continuous image sequences, Aubert et al. [5] considered the numerical approximation of the above total variation functional based on a duality approach and a suitable approximation of $\phi$ with a sequence of functionals of quadratic growth.
Frequently the image sequence is corrupted by noise that one wishes to remove. On the theoretical side, we cannot assume that the input image intensity is already in $BV$. We study here a $BV$ approach for the joint reconstruction of non smooth space time intensity maps $u$ and the underlying non smooth optical flow fields $v$. It differs from the ansatz by Aubert and Kornprobst [6] in that here both fields are reconstructed simultaneously. We investigate in particular the relation to the above-discussed fundamental observations (i)—(iii) on motion estimation and show that the $BV$ approach naturally incorporates a local analysis of the motion pattern in the vicinity of the jump set $J_u$. Depending on the data, minimizing sequences may develop undesirable small-scale oscillations around interfaces. Analytically this means that the functional is not lower semicontinuous. The theory of relaxation permits to replace the functional by its lower semicontinuous envelope, thereby eliminating the fine-scale oscillations from the kinematics, but still incorporating their averaged effect in the energetics. The key technical ingredient we
use here is a general result on the relaxation of variational problems on vector-valued $BV$ functions by Müller and Fonseca [23] and earlier work on relaxation on $BV$ functions by Ambrosio and Dal Maso [4] and Aviles and Giga [7]. It leads to the relaxed functional presented in (2.3) below. The ambiguity close to the jump set is then resolved by minimizing locally a suitable microscopic problem, which in turn leads to a selection of the relevant local motion pattern, see (2.4) below. Using upper and lower bounds on the relaxed energy we can show that under suitable (implicit) assumptions on the image intensity map $u$ and the motion field $v$ such microscopic oscillations can be ruled out.
The advantages of the joint estimation of intensity $u$ and motion field $v$ are the following:
- A reliable segmentation of moving objects via the non smooth intensity map helps to estimate their motion.
- Given the motion field, the brightness constancy assumption along motion paths significantly improves the denoising of the image sequence or even the restoration of missing frames.
- Reliable motion detection also poses an important cue for object detection and recognition.
Thus, joint approaches which simultaneously estimate the motion field, segment objects and denoise the image sequence are particularly appealing. Advances in this direction were investigated in [51, 39, 13, 35, 41]. A first approach which relates optical flow estimation to Mumford–Shah image segmentation was presented by Nesi [38]. Cremers and Soatto [17, 18, 19] gave an extension of the Mumford-Shah functional from intensity segmentation to motion based segmentation in terms of a probabilistic framework.
Rathi et al. investigated active contours for joint segmentation and optical flow extraction [42]. Brox et al. [11] presented a Chan-Vese type model for piecewise smooth motion extraction. For given fixed image data the decomposition of image sequences into regions of homogeneous motion is encoded in a set of level set functions and the regularity of the motion fields in these distinct regions is controlled by a total variation functional. Indeed, Kornprobst et al. [31] already studied a joint approach for the segmentation of moving objects in front of a still background and the computation of the motion velocities.
The paper is organized as follows. In Section 2 we introduce the variational approach via the definition of a suitable energy on space time intensity maps $u$ and motion fields $v$ and retrieve the general relaxation result for this type of energies. The functional we propose to use is given in (2.3-2.4). On the jump sets of $u$ and $v$ the integrand of the relaxed functional involves a microscopic variational problem. The main contribution of this paper is to establish bounds for this microscopic energy and to give sufficient conditions for the non existence of microscopic oscillations. In Section 3 we discuss the consequences of our results for optical flow estimation. Then, in Section 4 we present the proofs of the results discussed in Section 2.
2 Variational approach and relaxation results
In this section we derive a joint functional for the restoration of a space time image sequence and the estimation of the underlying motion field. We start by fixing some notation. We denote by $\Omega$ the image domain, a bounded Lipschitz-domain in $\mathbb{R}^d$ with $d \geq 1$, and by $D = (0,T) \times \Omega \subset \mathbb{R}^{d+1}$ the associated space time domain. For a spatial vector $x \in \mathbb{R}^d$ we write $x = (x_1, \ldots, x_d)$, while time-space vectors are denoted by $y = (y_0, y_1, \ldots, y_d) \in \mathbb{R}^{d+1}$ with $t = y_0$ being the time coordinate. Correspondingly, the space time gradient reads as $\nabla = \nabla_y = (\partial_t, \nabla_x)$. We use $|\cdot|$ for the Euclidean norm including all matrix spaces. We use standard notation $L^p$ and $W^{1,p}$ with $1 \leq p \leq \infty$ for Lebesgue and Sobolev spaces, respectively. By the fundamental decomposition result [3, 21] the derivative of a function of bounded variation $f \in BV(\mathbb{R}^k; \mathbb{R}^l)$ can be written as
$$Df = \nabla f \mathcal{L}^k + D^c f + [f] \otimes n \mathcal{H}^{k-1} \lfloor J_f$$
where $(a \otimes b)_{i,j} = a_i b_j$ for $i = 1, \cdots, l$ and $j = 1, \cdots, k$. Here $J_f$ is the jump set of $f$, $[f] = (f^+ - f^-)$ is the jump, $f^+, f^- : J_f \to \mathbb{R}^l$ are the approximate limits on $J_f$, $n : J_f \to S^{k-1}$ is the measure theoretic normal to $J_f$ and $D^c f$ is the Cantor part of the measure $Df$, orthogonal to both $\mathcal{L}^k$ and $\mathcal{H}^{k-1} \lfloor J_f$. The jump part of $Df$ is denoted by $D^j f = [f] \otimes n \mathcal{H}^{k-1} \lfloor J_f$.
Let $u_0 \in L^p(D)$ represent the input data, a given grey valued image sequence, with $p < 1^* := \frac{d+1}{d}$. Our aim is to determine a restored image sequence $u : D \to \mathbb{R}$ and an underlying motion field $v : D \to \mathbb{R}^d$. Throughout this paper we use the shortcut notation $w = (1,v)$ for the space time motion field. Since we expect that both the reconstructed image sequence and the reconstructed image velocities will jump on the boundaries of reconstructed moving objects, which are codimension 1 surfaces in space time, we consider $BV(D)$ as the suitable space for intensity maps and $BV(D; \mathbb{R}^d)$ as the suitable space for velocity fields.
We start by defining a functional $F$ measuring the quality of the restoration and the motion extraction for an image sequence $u \in W^{1,1}(D)$ and a motion field $v \in W^{1,1}(D; \mathbb{R}^d)$. The actual functional on $BV(D) \times BV(D; \mathbb{R}^d)$ will then be defined via relaxation. For fixed $M$ and $\alpha_F$, $\alpha_v$, $\alpha_u > 0$ we consider the following energy integrand $g : \mathbb{R}^d \times \mathbb{R}^{d+1} \times \mathbb{R}^{d(d+1)} \to [0, \infty)$
$$g(v, p, q) = \alpha_F |w \cdot p| + \alpha_v |q| + \alpha_u |p|$$
and define for a general Lipschitz domain $U \subset \mathbb{R}^{d+1}$ the energy
$$E[u, v, U] = \begin{cases} \int_U g(v, \nabla u, \nabla v) \ dy & \text{if } (u, v) \in W^{1,1}(U) \times W^{1,1}(U; \mathbb{R}^d); \|v\|_{L^\infty} \leq M \\ \infty & \text{otherwise}. \end{cases}$$
(2.1)
This energy is then complemented with a fitting term with respect to the given image sequence $u_0 \in L^p(D)$ to obtain the functional
$$F[u, v, D] = \|u - u_0\|_{L^p(D)}^p + E[u, v, D].$$
The energy $E[u, v, D]$ is finite for $(u, v) \in W^{1,1}(D) \times W^{1,1}(D; \mathbb{R}^d)$ and $\|v\|_{L^\infty(D)} \leq M$ with $\alpha_v \int_D |\nabla v| \, dy$ and $\alpha_u \int_D |\nabla u| \, dy$ measuring the regularity of the motion field $v$ and the image sequence $u$, respectively. Furthermore,
$$\alpha_F \int_D |w \cdot \nabla u| \, dy = \alpha_F \int_D |\partial_t u + v \cdot \nabla_x u| \, dx \, dt$$
quantifies the agreement of the pair $(u, v)$ with the brightness constancy constraint (1.1). We remark that for general input image sequences $u_0$ bounds on the energy do not imply a priori bounds on the motion field in $L^\infty$, for example in the case that $u_0$ is spatially uniform. The constraint on $\|v\|_{L^\infty}$ has been included to avoid this technical difficulty.
At this point we are ready to define the actual functional of interest for $(u, v) \in BV(D) \times BV(D; \mathbb{R}^d)$ as the relaxation $F^*$ of the functional $F$ with respect to convergence in $L^1(D)$:
$$F^*[u, v, D] = \inf \left\{ \liminf_{k \to \infty} F[u_k, v_k, D] \mid (u_k, v_k) \in L^1(D; \mathbb{R}^{d+1}); (u_k, v_k) \overset{L^1}{\to} (u, v) \right\}. \tag{2.2}$$
As already mentioned in the introduction in the generic case of optical flow applications the jump set $J_v$ of the motion field (the union of boundaries of moving objects) is a subset of the jump set $J_u$ of the image intensity (the union of all image edges). Hence, $v$ is expected to jump on a subset of the support of the jump part $D^j u = [u] \otimes n \mathcal{H}^d \sqcup J_u$ of the measure $Du$, so that the term $(1, v) \cdot Du$ is ill-defined. A proper understanding of this term requires to select locally a microscopic profile for $u$ and $v$ and includes—but will not be restricted to—the proper choice between $v^+$ or $v^-$ for the pointwise value for $v$ in the term $(1, v) \cdot D^j u$ and thus the local selection between foreground and background (cf. the consistency issue (ii) in the simple model problem in Section 1).
In fact, the theory of relaxation for problems with linear growth is more complex than the one with $p$-growth, $p > 1$ [20], because of the singular part of the gradient in the limit. Relaxation and lower semicontinuity with a convex integrand depending only on the gradient field were already obtained in the 60s [25, 43], the general case, with dependence of the integrand also on $x$ and $u$ was investigated in the early 90s [4, 7]. Here, we use the more general result by Fonseca and Müller in [23], which also includes the case of quasiconvex integrands, as the starting point of our investigation. Successive developments include [10, 9, 24, 32, 44].
These results show that the relaxation $F^*$ of $F$ with respect to the $L^1$-topology, as defined in (2.2), is finite on the domain
$$BV(D) \times \left( BV(D; \mathbb{R}^d) \cap \{v \in L^\infty : \|v\|_{L^\infty} \leq M\} \right)$$
and it equals
$$F^*[u, v, D] = \|u - u_0\|^p_{L^p(D)} + \int_D g(v, \nabla u, \nabla v) \, dy + \int_D g(v, D^c u, D^c v)$$
$$+ \int_{J_{(u,v)}} K(u^+, u^-, v^+, v^-, n) \, d\mathcal{H}^d. \tag{2.3}$$
Since $g$ is one-homogeneous and convex in the second and third arguments, $g$ coincides with its regression function and the third term in (2.3) should be interpreted as
$$\int_D g \left( v, \frac{dD^c u}{d(|D^c u| + |D^c v|)}, \frac{dD^c v}{d(|D^c u| + |D^c v|)} \right) d(|D^c u| + |D^c v|).$$
The key nonconvexity arises from the dependence of $g$ on the first variable in the jump part. Thereby, the function $K : \mathbb{R} \times \mathbb{R} \times \mathbb{R}^d \times \mathbb{R}^d \times S^d \to \mathbb{R}$ depending on the approximate limits $(u^+, v^+)$ and $(u^-, v^-)$ of $(u, v)$ and the measure theoretic normal $n$ on the jump set $J_{(u,v)}$ is the solution of a local minimizing problem in which the energy on the jump is optimized with respect to all possible microstructures. Precisely,
$$K(u^+, u^-, v^+, v^-, n) = \inf \{ E[u, v, Q_n] : (u, v) \in \mathcal{A} \}, \quad (2.4)$$
where $Q_n$ is the rotated cube
$$Q_n = \left\{ y \in \mathbb{R}^{d+1} : |y \cdot n| < \frac{1}{2}, |y \cdot m^1| < \frac{1}{2}, \ldots, |y \cdot m^d| < \frac{1}{2} \right\},$$
with $\{n, m^1, \ldots, m^d\}$ denoting an orthonormal basis of $\mathbb{R}^{d+1}$, and $\mathcal{A}$ is the set of $W^{1,1}$-functions which have traces $u^\pm, v^\pm$ on the two sides of $Q_n$ normal to $n$ and are periodic in the $m^1, \ldots, m^d$-directions,
$$\mathcal{A} = \left\{ (u, v) \in W^{1,1}(Q_n; \mathbb{R}^{1+d}) : u = u^\pm \text{ and } v = v^\pm \text{ on } \partial Q_n \cap \left\{ y \cdot n = \pm \frac{1}{2} \right\}, \right.$$
$$\left. u(y) = u(y + m^i) \text{ and } v(y) = v(y + m^i) \text{ on } \left\{ y \cdot m^i = -\frac{1}{2} \right\} \right\}.$$
We remark that the term $\|u - u_0\|_{L^p(D)}^p$ is continuous in $u$ with respect to the weak convergence in $BV$, since we chose $p < 1^*$. Furthermore, both $F$ and $F^*$ are coercive in $BV$, in the sense that for any given $u_0$ and for any sequence $(u_j, v_j)$ with $F^*[u_j, v_j, D]$ bounded, the sequence of $BV$ norms of $u_j$ and $v_j$ are also bounded. Therefore the above representation of the relaxation follows immediately from the more general statement of Fonseca and Müller [23, Theorem 2.16] and existence of minimizers for the relaxed functional $F^*$ follows easily by the direct method of the calculus of variations.
A practical usage of the functional $F^*$ requires knowledge of the effective surface energy $K$, much as in the case of relaxation on $W^{1,p}$ spaces one needs to determine the quasiconvex envelope of the integrand [20]. A numerical computation is in principle feasible via the minimization in (2.4), but it is nevertheless useful to extract analytical information on $K$ as far as possible. In what follows we give lower and upper bounds for the singular term $K$ and compute it explicitly in special cases. Thereby, we show that the model favors locally simple (i.e. planar) profiles in the microscopic problem (2.4) under reasonable assumptions from the viewpoint of the practical optical flow application. This renders the functional $F^*$ well-suited for joint image sequence restoration and motion extraction. A detailed discussion of the consequences of the bounds for $K$ is postponed to Section 3.
Theorem 2.1. Given $u^+, u^- \in \mathbb{R}$, $v^+, v^- \in \mathbb{R}^d$ and $n \in S^d$ for $K = K(u^+, u^-, v^+, v^-, n)$ the following statements hold:
(i) If $(w^+ \cdot n)(w^- \cdot n) \leq 0$ then $K = \alpha_u |[u]| + \alpha_v |[v]|$,
(ii) For $d = 1$ and $|[u]| \leq \frac{2\alpha_v}{\alpha_F}$ one has $\min_{N^+ \in \mathbb{R}^2} \underline{K}(N^+) \leq K \leq \min_{N^+ \in \mathbb{R}^2} \overline{K}(N^+)$, where
$$\overline{K}(N^+) = (\alpha_u |[u]| + \alpha_v |[v]|)\left(|N^+| + |N^-|\right) + \alpha_F |[u]|\left(|N^+ \cdot w^+| + |N^- \cdot w^-|\right),$$
$$\underline{K}(N^+) = (\alpha_u |[u]| + \alpha_v |[v]|)\left(|N^+| + |N^-|\right) + \alpha_F |[u]|\left|N^+ \cdot w^+ + N^- \cdot w^-\right|,$$
with $N^- = n - N^+$,
(iii) For general $d \geq 1$ one has $K \leq \overline{K}_d$, where
$$\overline{K}_d = \min\left(\sum_{j=1}^{l} \left(\alpha_u |[u]| + \alpha_v |v^+ - v^j| + \alpha_v |v^- - v^j|\right)|N^j| + \alpha_F |[u]|\sum_{j=1}^{l} |N^j \cdot w^j|\right),$$
where $w^j = (1, v^j)$ and the minimum is taken over $l \in \mathbb{N}$ and the set of vectors $v^1, \ldots, v^l \in \mathbb{R}^d$ and $N^1, \ldots N^l \in \mathbb{R}^{d+1}$, subject to $\sum_{j=1}^{l} N^j = n$.
The proof is given in Section 4.3.
The upper bounds in Theorem 2.1 are based on suitable choices for the optimal microscopic solution $u, v$ of (2.4). If the profile of these microscopic solutions $u, v$ depend only on $y \cdot n$, we call it simple. There are in particular two types of simple profiles when solving (2.4) for given data $(u^-, v^-), (u^+, v^+)$, and $n$. In the case $(w^+ \cdot n)(w^- \cdot n) \leq 0$ we define the following piecewise constant functions $u \in BV(Q_n)$ and $v \in BV(Q_n; \mathbb{R}^d)$:
$$u(y) = \begin{cases} u^- & \text{if } y \cdot n < 0 \\ u^+ & \text{if } y \cdot n \geq 0 \end{cases} \quad \text{and} \quad v(y) = \begin{cases} v^- & \text{if } y \cdot n < -\frac{1}{3} \\ v^0 & \text{if } -\frac{1}{3} \leq y \cdot n < \frac{1}{3} \\ v^+ & \text{if } y \cdot n \geq \frac{1}{3} \end{cases}, \quad (2.5)$$
where $v^0$ is chosen in the line segment $[v^-, v^+]$ such that $w^0 \cdot n = 0$ for $w^0 = (1, v^0)$. For suitable approximations in $W^{1,1}$ such as those obtained by convolution $u_k = \frac{k}{2}\chi_{\{|y \cdot n| < \frac{1}{k}\}} * u$, $v_k = \frac{k}{2}\chi_{\{|y \cdot n| < \frac{1}{k}\}} * v$ we have that
$$K(u^+, u^-, v^+, v^-, n) \leq \liminf_{k \to \infty} E[u_k, v_k, Q_k] = \alpha_v |[v]| + \alpha_u |[u]|, \quad (2.6)$$
where $[v] = v^+ - v^-$ and $[u] = u^+ - u^-$. This profile corresponds to a microscopic consistency with a $BV$ interpretation of the brightness constancy constraint (1.1). In the other case $(w^+ \cdot n)(w^- \cdot n) > 0$ consistency of a simple and optimal microscopic profile is out of reach. Let us assume that $|w^- \cdot n| \leq |w^+ \cdot n|$. Then a feasible, simple profile for the minimization of $E[\cdot, \cdot, Q_n]$ is given by
$$u(y) = \begin{cases} u^- & \text{if } y \cdot n < 0 \\ u^+ & \text{if } y \cdot n \geq 0 \end{cases} \quad \text{and} \quad v(y) = \begin{cases} v^- & \text{if } y \cdot n < \frac{1}{3} \\ v^+ & \text{if } y \cdot n \geq \frac{1}{3} \end{cases}.$$
Indeed, again using the same ansatz for the approximation as above, one obtains
\[
K(u^+, u^-, v^+, v^-, n) \leq \liminf_{k \to \infty} E[u_k, v_k, Q_k] = \alpha_F |w^- \cdot n| + \alpha_v |v| + \alpha_u |u|.
\]
Figure 1 shows sketches of the simple profiles in both cases. In the next theorem we establish sufficient conditions for the existence of minimizing profiles which are simple.
**Theorem 2.2.** Let \(u^+, u^- \in \mathbb{R}, v^+, v^- \in \mathbb{R}^d\) and \(n \in S^d\), then we have the following.
(i) If \((w^+ \cdot n)(w^- \cdot n) \leq 0\) then the optimal profile for \(K\) is simple and
\[
K = \alpha_v |v| + \alpha_u |u|.
\]
(ii) If \(d = 1\), \((w^- \cdot n)(w^+ \cdot n) > 0\), \(||u|| \leq \frac{2\alpha_v}{\alpha_F}\) and \(2(\alpha_u ||u|| + \alpha_v ||v||)|n_1| \geq \alpha_F ||u|| ||v||\) then the minimizing profile for \(K\) is simple and
\[
K = \alpha_F \min\{|w^- \cdot n|, |w^+ \cdot n|\} ||u|| + \alpha_v ||v|| + \alpha_u ||u||.
\]
(iii) If \(d > 1\), \((w^- \cdot n)(w^+ \cdot n) > 0\) and \(||u|| \leq \frac{2\alpha_v}{d\alpha_F} \frac{||w \cdot n||}{||v||}\) then the minimizing profile for \(K\) is simple and given by (2.8).
(iv) If the profile is simple, then
\[
K = \min_{a \in \mathbb{R}^d} \left( \alpha_u ||u|| + \alpha_v |v^+ - a| + \alpha_v |v^- - a| + \alpha_F ||u|| |n \cdot (1, a)| \right).
\]
The proof is given in Section 4.3. An example where the profile is not simple is discussed in Section 3 below.
3 Consequences for the motion estimation
In this section we discuss the practical implications of Theorem 2.2 on the actual optical flow estimation based on the proposed variational approach for the joint image sequence restoration and motion extraction. We will analyze implicit conditions on the approximate limits of $u$ and $v$ at jump sets under which the singular energy density $K$ defined in (2.4) is simple and there is no relevant microscopic scale arising in the variational model. Furthermore, we will give an example where microstructures actually appear and thus the singular energy density $K$ is not simple. As the only interesting cases appear where $|u| \neq 0$, in this section we always assume that $J_v \subset J_u$.
We start observing that the condition for simple profiles in one space dimension in Theorem 2.2 (ii) includes in particular the case
$$||u|| \leq 2 \frac{\alpha_v}{\alpha_F} |n_1|,$$
as well as the case
$$||v|| \leq 2 \frac{\alpha_u}{\alpha_F} |n_1| \text{ and } ||u|| \leq 2 \frac{\alpha_v}{\alpha_F}.$$
Hence, for moderate speed of the intensity interface $J_u$ (associated with large $n_1$) and either moderate difference $||v||$ of the estimated motion on both sides of the interface or moderate intensity variation $||u||$ the condition in Theorem 2.2 (ii) is fulfilled (in particular for $(|n_1| > \frac{1}{2}$ and $\frac{\alpha_v}{2\alpha_F} \geq \|u\|_{L^\infty}$) or $(\frac{\alpha_v}{\alpha_F} \geq \|u\|_{L^\infty}$ and $|n_1| \geq \frac{M\alpha_E}{\alpha_v})$). For the case $d > 1$ the condition in Theorem 2.2 (iii) can be rephrased as
$$||v|| \cdot (n_1, \ldots, n_d) \geq \frac{d\alpha_F}{2\alpha_v} ||v|| \cdot ||u||.$$
Thus, if $\frac{\alpha_F}{\alpha_v}$ is small, this condition is fulfilled for a moderate speed of the intensity interface $J_u$ (associated with large spatial component of $n$) and for a direction of the jump $\frac{[v]}{||v||}$ with a significant component pointing in direction of the spatial interface normal $\frac{(n_1, \ldots, n_d)}{\|(n_1, \ldots, n_d)\|}$.
In the practical application the velocities on the two sides of the discontinuity $v^+$ and $v^-$ are determined within the variational setting by shading or texture information on both sides of the edge set $J_u$. Then, the singular energy density $K(u^+, u^-, v^+, v^-, n)$ is associated with the proper identification of the type of object motion as described for the simple model problem in Section 1, in particular the decision on foreground or background and the identification of additional erosion or dilation. As we will see below, for $K$ simple the minimization of the joint functional is able to decide on the motion pattern. In the case that $K$ is not simple and that microstructures appear the variational model seems not to appropriately reflect the scope of possible motion patterns. On the other hand, under the reasonable implicit assumption that the data $u^+, u^-, v^+, v^-$ fulfills one of the conditions under which the singular energy density $K$ is simple the joint variational approach actually renders the coupled restoration and motion estimation problem meaningful including the proper identification of the local motion pattern at object edges.
In what follows we study the different local motion pattern at some point $y \in J_u$ and the associated singular energy density $K$ in more detail.
**Consistent interface motion.**
Let us suppose that a light object with image intensity $u^+$ is moving with a speed $v^+$ on a dark background with speed $v^-$ and image intensity $u^-$ ($u^+ > u^-$) (cf. left sketch in Fig. 2). The consistency of the interface motion of the space time edge set $J_u$ with the object motion is expressed in terms of the brightness constancy assumption $w^+ \cdot n = 0$ at the point $y \in J_u$ with $n$ denoting the space time normal on $J_u$, i.e. $Du = [u] \otimes n \mathcal{H}^d \perp J_u$. In this case Theorem 2.2 (i) applies and $K = \alpha_v |[v]| + \alpha_u |[u]|$. Microscopically this is realized by the profile sketched in Fig. 1 (left) with $v^0 = v^+$. Due to noise the brightness constancy assumptions might only be approximately fulfilled with $|w^+ \cdot n| \ll 1$. Then, Theorem 2.2 (ii) shows that we obtain the corresponding approximate singular energy density $K = \alpha_F |w^+ \cdot n||[u]| + \alpha_v |[v]| + \alpha_u |[u]|$.
**Non consistent interface motion.**
Let us suppose that in the same configuration $w^- \cdot n < w^+ \cdot n < 0$ (cf. middle sketch in Fig. 2). Hence, neither the object motion $v^+$ nor the motion $v^-$ (currently classified as background) is consistent with the motion of the interface $J_u$. Indeed, we observe an erosion of the interface. Let us assume that $v$ is the actual speed of the interface with $w \cdot n = 0$ for $w = (1, v)$, then $v - v^+$ is the effective erosion velocity and $|(0, v - v^+) \cdot n| = |w^+ \cdot n|$ is the associated footprint in the singular energy density $K$, which is in agreement with the findings of Theorem 2.2 (ii). Obviously, the energy functional considers this classification as favorable compared to the one obtained via flipping object and background and classifying a foreground object with intensity $u^-$ moving with speed $v^-$ and dilation speed $v^- - v$ and larger footprint in the singular energy density $|w^- \cdot n|$. Microscopically this is realized by the profile sketched in Fig. 1 (right). If $w^- \cdot n < 0 <
$w^+ \cdot n$ (cf. right sketch in Fig. 2) the variational approach favors the classification of a dilation process on the interface $J_u$ with velocity $\bar{v} - v^+$ for the velocity $\bar{v}$ on the line segment $[v^-, v^+]$ with $\bar{w} \cdot n = (1, \bar{v}) \cdot n = 0$ and thus smallest possible singular energy density $K = \alpha_v |v| + \alpha_u |u|$. The associated microscopic solution profile coincides with that sketched in Fig. 1 (left).
**Objects and background with constant intensity.**
Objects and background with constant intensity. If there is no shading or texture information, the estimation of motion velocities can solely be based on the observed motion of interfaces. Exemplarily, let us suppose that objects $\mathcal{O}_1, \ldots, \mathcal{O}_m$ are moving with constant velocities $v_1, \ldots, v_m$ in front of a immobile background as sketched in Figure 3. Furthermore, let us explicitly rule out interface dilation and erosion. For such a configuration the singular energy density compares the different foreground and background configurations in the local depth ordering. For a fixed depth ordering of the objects the estimation of a velocity $v_i$ for each object is based on the minimization of $\int_{\partial \mathcal{O}_i^{vis}} K \, d\mathcal{H}^d$ with
$$K = \alpha_F |(1, v_i) \cdot n| + \alpha_v |v_i - v_i^{opp}| + \alpha_u |u_i - u_i^{opp}|,$$
where $\partial \mathcal{O}_i^{vis}$ is the visible part of $\partial \mathcal{O}_i$ and $v_i^{opp}, u_i^{opp}$ are the velocity and the intensity opposite $\partial \mathcal{O}_i$, respectively. The estimation of the depth ordering via the variational approach is then performed by a comparison of the minimal total energy obtained for the set of all possible depth configurations (In Figure 3 the color of the interfaces shows which is the relevant velocity of the singular energy density for the minimal total energy). An estimation of the background speed is obviously not possible.
**Appearance of microstructures.**
By the above discussion it is clear that we have to deal with large relative velocities and jumps in the intensities. The key idea is to find a case where the upper bound in Theorem 2.1(ii) and (iii) is lower than the energy of simple profiles given in Theorem 2.2(iv).
We discuss first the case $d = 1$. Let $n \in S^1$ and let $\overline{K}$ be the upper bound given in Theorem 2.1(ii). We assume that
$$||u|| \leq \frac{2\alpha_v}{\alpha_F} \quad \text{and} \quad 0 < w^- \cdot n < w^+ \cdot n.$$
Then the energy of a simple profile in Theorem 2.2(iv) coincides with $\overline{K}(0)$. Indeed, if $a$ is between $v^-$ and $v^+$ then $|v^+ - a| + |v^- - a| \geq |v^+ - v^-|$ and $|n \cdot (1, a)| \geq |n \cdot w^-|$; if $a$ is outside that interval then, letting $b$ be the projection of $a$ on the interval, $|v^+ - a| + |v^- - a| = |v^+ - v^-| + 2|a - b|$ and $|n \cdot (1, a)| \geq |n \cdot b| - |b - a|$. This proves that the minimum is attained at $a = v^-$.
Therefore it suffices to construct a situation where 0 is not a minimizer of the upper bound function $\overline{K}$. For a vector $N \in \mathbb{R}^2$ chosen later and a small $\delta \in (0, 1)$ we compute, assuming $n \cdot w^- \neq 0$ and writing for brevity $\zeta = \frac{\alpha_F |u|}{\alpha_u |u| + \alpha_v |v|}$,
$$\frac{\overline{K}(\delta N) - \overline{K}(0)}{\alpha_u |u| + \alpha_v |v|} = |\delta N| + |n - \delta N| - 1 + \zeta \left( |\delta N \cdot w^+| + |(n - \delta N) \cdot w^-| - |n \cdot w^-| \right)$$
$$= A(N)\delta + O(\delta^2)$$
where
$$A(N) = |N| - n \cdot N + \zeta(|N \cdot w^+| - N \cdot w^-).$$
Therefore it suffices to show that $N \in \mathbb{R}^2$ can be chosen so that $A(N) < 0$.
We choose a large velocity $v \geq 1$, set $\alpha_F = \alpha_v = \alpha_u = 1$, $v^\pm = \pm v$, $u^+ = 1$, $u^- = 0$, so that $|u| = 1 \leq 2\alpha_v/\alpha_F$, $\zeta = 1/(1 + 2v)$, $w^\pm = (1, \pm v)$. We choose a normal which corresponds to motion with a velocity close to but not identical with the velocity $v^-$. Precisely, for some $\tilde{v} > v$ we set $n = (\tilde{v}, 1)/\sqrt{\tilde{v}^2 + 1}$. Then it is easy to see that $0 < n \cdot w^- < n \cdot w^+$. Finally we set $N = (v, -1)$, so that $N \cdot w^+ = 0$. It remains to show that $v$ and $\tilde{v}$ can be chosen so that $A(N) < 0$. To do this we compute
$$A(N) = |N| - n \cdot N + \zeta(|N \cdot w^+| - N \cdot w^-) = \sqrt{v^2 + 1} - \frac{v\tilde{v} - 1}{\sqrt{\tilde{v}^2 + 1}} - \frac{2v}{1 + 2v}$$
which is negative if $v$ and $\tilde{v}$ are chosen sufficiently large (cf. Fig. 4). A detailed computation shows that $v = 2$ and any $\tilde{v} \geq 4$ will do. In the case $v = \tilde{v}$, however, the Taylor series above is not admissible (since $w^- \cdot n = 0$) and the profile becomes simple again, in agreement with Theorem 2.2(i).
The construction can be easily generalized to the case $d > 1$. From the lower bound in Theorem 2.2(iv) we know that the best interfacial energy which can be attained using simple profiles is given by
$$K_s = \alpha_u |u| + \alpha_v |v^+ - a| + \alpha_v |v^- - a| + \alpha_F |u||n \cdot (1, a)|$$
for some $a \in \mathbb{R}^d$. We choose as above a large velocity $v \geq 1$, set $\alpha_F = \alpha_v = \alpha_u = 1$, $v^\pm = \pm ve_1$, $w^\pm = (1, v^\pm)$, $u^\pm = \pm 1$, and pick a normal which corresponds to motion with velocity $-\tilde{v}e_1$, namely, $n = (\tilde{v}, 1, 0, \ldots, 0)/\sqrt{1 + \tilde{v}^2}$, for some $\tilde{v} > v$. The optimal $a$ is also parallel to $e_1$, and a short computation shows that it equals $v^-$, so that
$$K_s = \alpha_u |u| + \alpha_v |v^- - v^+| + \alpha_F |u||n \cdot w^-|.$$
The one-dimensional result shows that there is $N^+ \in \mathbb{R}^2$ such that $\overline{K}(N^+) < K_s$. This result can be immediately embedded in the higher-dimensional setting by taking $l = 2$,
$N^1 = (N^+, 0, \ldots, 0)$, $N^2 = n - N^1$, $v^1 = v^+$, $v^2 = v^-$ in the upper bound of Theorem 2.1(iii). Therefore the same values, $v = 2$ and $\tilde{v} \geq 4$, will do.
We refer to Section 4.4 for a visualization of a more general microscopic pattern in the case $d = 2$.
**Potential impact on the numerical implementation of the motion estimation model.**
The model studied here has a built-in consistency with respect to the local shading or texture information \textit{and} to the global geometry $J_u$ of moving and deforming objects in space-time, and is therefore attractive for concrete applications to imaging, based on an appropriate numerical implementation. The possible appearance of microstructures is, however, a very problematic feature of the model. If microstructure appears the usability of the model in imaging is questionable.
The analysis presented in this paper shows that microscopic patterns appear only if the motion velocity $v$ encoded in the edge set $J_u$ is relatively large and the motion data $v^+$ and $v^-$ encoded in the shading or the texture on both sides of the edge are substantially inconsistent with $v$. Thus, in imaging applications the criteria for simple profiles stated in Theorem 2.2 and discussed at the beginning of this section mostly rule out the appearance of microstructures and indicate that a one-scale method should be appropriate in normal situations. The criteria in Theorem 2.2 can be used in a numerical algorithm as an a-posteriori test for the appropriateness of the one-scale model based on upscaled versions of $u^+$, $u^-$, $v^+$, $v^-$, and $n$. If this test fails, it may be advisable to modify the parameters $\alpha_u$, $\alpha_v$ and $\alpha_F$, in ways which are suggested by the conditions in Theorem 2.2. Failure of the test, if one does not appropriately modify the parameters of the problem, leads to microscopic patterns. In particular, one would expect to observe oscillations in the single-scale numerical approximation of $u$ and $v$ in the vicinity of
the edge set $J_u$, with a length scale given by the spatial discretization. In fact, the constructions used in the proofs of the upper bounds could be used to set up a reduced microscopic model in a two-scale discretization approach, which would include a local optimization over a small set of parameters describing the microstructure. Numerical two-scale methods of this type are of theoretical interest, but in this concrete application they are of no practical relevance.
For a practical implementation of the single-scale model it is useful to observe that the functional $F$ is not jointly convex in $u$ and $v$. However, $F$ is separately convex in $u$ and in $v$ and thus classical primal-dual methods can be applied in an alternating minimization scheme.
## 4 Proofs of the main results
In this Section we prove Theorem 2.1 and Theorem 2.2. We start by discussing the symmetries of the function $K$ and reformulating its definition on a different space of test functions in Section 4.1. Moreover, we prove classical subadditivity and convexity properties for $K$. Then, in Section 4.2 we discuss explicit constructions which lead to upper bounds of $K$ for $d = 1$ and prove a lower bound of $K$ for $d = 1$. Based on the ingredients of Section 4.1 the proofs of the theorems are then given in Section 4.3. Finally, in Section 4.4 we illustrate the possible microscopic patterns which might arise in critical regimes complementing the discussion in Section 3.
### 4.1 Preliminaries
In order to simplify the following discussion we first list the symmetries which $K$ obeys.
**Lemma 4.1.** $K$ has the following symmetries:
$$K(u^+, u^-, v^+, v^-, n) = K(u^+ - u^-, 0, v^+, v^-, n),$$
$$K(u^+, u^-, v^+, v^-, n) = K(-u^+, -u^-, v^+, v^-, n),$$
$$K(u^+, u^-, v^+, v^-, n) = K(u^-, u^+, v^-, v^+, n),$$
$$K(u^+, u^-, v^+, v^-, n) = K(u^-, u^+, v^-, v^+, -n).$$
**Proof.** They all follow immediately from the definition. For the first equality replace $u$ by $u - u^-$. For the second item replace $u$ by $-u$. For the third equality replace $u$ and $v$ by $u(-y)$ and $v(-y)$. The last invariance is simply a relabeling of the boundary conditions. $\square$
One key observation is that we can replace the set of functions in the definition of $K$ by a simpler class of functions. In particular, the function $u$ can be assumed to take only two values, and the velocity field $v$ can be assumed to be smooth. This allows to give a classical sense to the term $w \cdot Du$. We stress that existence of minimizers is not
expected in this restricted class, indeed functions of this class are later interpreted as microstructures.
**Lemma 4.2.** In the definition of $K$ in (2.4) the set $\mathcal{A}$ can be replaced by
$$\mathcal{A}^C = \left\{ (u,v) \in BV(Q_n; \{u^+, u^-\}) \times C^\infty(\overline{Q}_n; \mathbb{R}^d) : u = u^\pm \text{ and } v = v^\pm \text{ on } \partial Q_n \cap \left\{ y \cdot n = \pm \frac{1}{2} \right\} \text{ and periodic in the } m^i\text{-directions} \right\}.$$
**Proof.** We prove the claim in three steps. If $[u] = 0$ then one immediately obtains $K = \alpha_v[v]$ from which the result follows easily by standard density results. Hence we only need to deal with the case $[u] \neq 0$.
Step 1. First we show that $\inf E[\mathcal{A}^\infty, Q_n] \leq \inf E[\mathcal{A}, Q_n]$, where
$$\mathcal{A}^\infty = \left( C^\infty(\overline{Q}_n; \mathbb{R}) \times C^\infty(\overline{Q}_n; \mathbb{R}^d) \right) \cap \mathcal{A}.$$
To prove the inequality, we choose $(u,v) \in \mathcal{A}$ and can assume that $\|v\|_{L^\infty} \leq M$. We extend $u$ and $v$ periodically to $\{y \in \mathbb{R}^{d+1} : |y \cdot n| < \frac{1}{2}\}$ and constantly in the $n$-direction and define $(\overline{u}, \overline{v})(y) = (u,v)(2y)$. Then a straightforward computation shows that
$$E[\overline{u}, \overline{v}, Q_n] = E[u, v, Q_n].$$
For $0 < \varepsilon < \frac{1}{4}$ we define $(u_\varepsilon, v_\varepsilon) = (\overline{u}, \overline{v}) * \rho_\varepsilon$ where $\rho_\varepsilon \in C_c^\infty(B_\varepsilon)$ is a standard mollifier. Since $(\overline{u}, \overline{v})$ is constant on $\{y \in \mathbb{R}^{d+1} : y \cdot n > \frac{1}{4}\}$ and $\{y \in \mathbb{R}^{d+1} : y \cdot n < -\frac{1}{4}\}$, the functions $(u_\varepsilon, v_\varepsilon)$ satisfy $(u_\varepsilon, v_\varepsilon) \in \mathcal{A}^\infty$.
To prove convergence of the energy we first observe that by the general properties of mollification of Sobolev functions we immediately obtain $u_\varepsilon \to \overline{u}$ and $v_\varepsilon \to \overline{v}$ in $W^{1,1}(Q_n; \mathbb{R})$ and $W^{1,1}(Q_n; \mathbb{R}^d)$, respectively. The more subtle term is $\int_{Q_n} |w_\varepsilon \cdot \nabla u_\varepsilon| \, dy$, where $w_\varepsilon = (1, v_\varepsilon)$. Since $\|w_\varepsilon\|_{L^\infty} \leq \|\overline{w}\|_{L^\infty} \leq M + 1$ we can estimate
$$\|w_\varepsilon \cdot \nabla u_\varepsilon\|_{L^1(Q_n)} \leq \|w_\varepsilon \cdot (\nabla u_\varepsilon - \nabla \overline{u})\|_{L^1(Q_n)} + \|(w_\varepsilon - \overline{w}) \cdot \nabla \overline{u}\|_{L^1(Q_n)} + \|\overline{w} \cdot \nabla \overline{u}\|_{L^1(Q_n)}.$$
The first term on the right hand side can be estimated by
$$\|w_\varepsilon \cdot (\nabla u_\varepsilon - \nabla \overline{u})\|_{L^1(Q_n)} \leq \|\overline{w}\|_{L^\infty(Q_n)} \|\nabla u_\varepsilon - \nabla \overline{u}\|_{L^1(Q_n)} \to 0.$$
For the second term we observe that $w_\varepsilon - \overline{w} \to 0$ pointwise a.e. and that
$$|(w_\varepsilon - \overline{w}) \cdot \nabla \overline{u}| \leq 2 \|\overline{w}\|_{L^\infty(Q_n)} |\nabla \overline{u}| \text{ pointwise.}$$
Hence by Lebesgue’s dominated convergence theorem we derive
$$\lim_{\varepsilon \to 0} \|(w_\varepsilon - \overline{w}) \cdot \nabla \overline{u}\|_{L^1(Q_n)} = 0.$$
Therefore
\[
\inf E[\mathcal{A}^\infty, Q_n] \leq \limsup_{\varepsilon \to 0} E[u_\varepsilon, v_\varepsilon, Q_n] \leq E[\bar{u}, \bar{v}, Q_n] = E[u, v, Q_n]
\]
concludes the proof of the first step.
Step 2. We show that \( \inf E[\mathcal{A}^C, Q_n] \leq \inf E[\mathcal{A}^\infty, Q_n] \). Let \((u, v) \in \mathcal{A}^\infty\), assume for definiteness that \( u^+ \geq u^- \). The coarea formula yields
\[
\int_{Q_n} (\alpha_u |\nabla u| + \alpha_F |w \cdot \nabla u|) \, dy \geq \int_{u^-}^{u^+} \left( \int_{Q_n} \alpha_u |D\chi_{\{u < t\}}| + \alpha_F |w \cdot D\chi_{\{u < t\}}| \right) \, dt.
\]
Indeed, the first term is standard, the second one follows easily from [3, (3.33) in Th. 3.40] approximating \( w \) uniformly with piecewise constant vector fields.
Thus there exists \( t^* \in (u^-, u^+) \) such that
\[
\int_{Q_n} (\alpha_u |\nabla u| + \alpha_F |w \cdot \nabla u|) \, dy \geq (u^+ - u^-) \int_{Q_n} \alpha_u |D\chi_{\{u < t^*\}}| + \alpha_F |w \cdot D\chi_{\{u < t^*\}}|.
\]
We define \( Q_n^- = \{ y \in Q_n : u(y) < t^* \} \) and \( u^* = u^+ + (u^- - u^+) \chi_{Q_n^-} \). Then
\[
\int_{Q_n} \alpha_u |\nabla u| + \alpha_F |w \cdot \nabla u| \, dy \geq \int_{Q_n} \alpha_u |Du^*| + \alpha_F |w \cdot Du^*|
\]
where \( Du^* \) on the right hand side has to be interpreted as a measure. Since the function \( w \) is smooth, it is in particular continuous on the jump set \( J_{u^*} \), hence the integral is well defined. Furthermore by the trace theorem \( u^* \) fulfills the boundary conditions. Therefore \((u^*, v) \in \mathcal{A}^C\) and \( \inf E[\mathcal{A}^C, Q_n] \leq \inf E[\mathcal{A}^\infty, Q_n] \).
Step 3. We prove that \( \inf E[\mathcal{A}, Q_n] \leq \inf E[\mathcal{A}^C, Q_n] \). As in Step 1 we choose \((u, v) \in \mathcal{A}^C\), extend both functions periodically, scale them to \((\bar{u}, \bar{v})\), and mollify \(\bar{u}\) (but not \(\bar{v}\)) to obtain \( u_\varepsilon = \bar{u} * \rho_\varepsilon \). For the same reasons as in Step 1 we have \((u_\varepsilon, \bar{v}) \in \mathcal{A}\) and
\[
\lim_{\varepsilon \to 0} \int_{Q_n} |\nabla u_\varepsilon| \, dy = \int_{Q_n} |D\bar{u}| = \int_{Q_n} |Du|.
\]
It remains to show that \( \int_{Q_n} |\bar{w} \cdot \nabla u_\varepsilon| \, dy \to \int_{Q_n} |\bar{w} \cdot D\bar{u}| \), where as usual \( \bar{w} = (1, \bar{v}) \). To see this, we deduce from \( |D\bar{u}|(\partial Q_n) = 0 \) for the Radon measure \( \bar{w} \cdot D\bar{u} \) that (cf. [3, Prop. 3.7])
\[
\lim_{\varepsilon \to 0} \int_{Q_n} |\rho_\varepsilon * (\bar{w} \cdot D\bar{u})| \, dy = \int_{Q_n} |\bar{w} \cdot D\bar{u}|.
\]
Furthermore,
\[
\int_{Q_n} [\rho_\varepsilon * (\bar{w} \cdot D\bar{u}) - \bar{w} \cdot (\rho_\varepsilon * D\bar{u})] \, dy = \int_{Q_n} \left[ \int_{B_\varepsilon(y)} \rho_\varepsilon(y - z)(\bar{w}(z) - \bar{w}(y)) \cdot D\bar{u}(z) \right] \, dy
\]
converges to zero because \( \bar{w} \) is uniformly continuous on \( Q_n \). Hence
\[
\limsup_{\varepsilon \to 0} E[u_\varepsilon, \bar{v}, Q_n] \leq E[\bar{u}, \bar{v}, Q_n] = E[u, v, Q_n],
\]
which proves the claim. \(\square\)
Next we give an iterated relaxation formula.
**Lemma 4.3.** For \((u, v) \in A^C\) we have
\[
K(u^+, u^-, v^+, v^-, n) = \inf \left\{ E^*[u, v, Q_n] : (u, v) \in A^C \right\},
\]
where \(E^*[u, v, Q_n] = \int_{Q_n} \alpha_v |Dv| + \int_{Q_n \cap J_u} K(u^+, u^-, v, v, \nu) d\mathcal{H}^d\) for \((u, v) \in A^C\) with \(\nu\) being the normal to \(J_u\).
**Proof.** Let \(E^*\) be the relaxation of \(E\), defined as in (2.2). From the general relaxation result we know that it has a form corresponding to (2.3), namely,
\[
E^*[u, v, Q_n] = \int_{Q_n} g(v, \nabla u, \nabla v) \ dy + \int_{Q_n} g(v, D^c u, D^c v)
\]
\[
+ \int_{J_{(u,v)} \cap Q_n} K(u^+, u^-, v^+, v^-, \nu) \ d\mathcal{H}^d.
\]
If \((u, v) \in A^C\) in particular \(E^*[u, v, Q_n] = \int_{Q_n} \alpha_v |Dv| + \int_{Q_n \cap J_u} K(u^+, u^-, v, v, \nu) d\mathcal{H}^d\), as given in the statement.
Fix \(u^+, u^-, v^+, v^-, n\); let \((u, v) \in A^C\), extend \(u, v\) periodically and define as in Step 1 of the proof of Lemma 4.2 \((u_j, v_j) = (u, v)(jx)\). Then \((u_j, v_j) \to (u_*, v_*) = (u^-, v^-) + ([u], [v]) \chi_{y \cdot n > 0}\) in \(L^1\). Hence, by the lower semicontinuity of \(E^*\) we obtain
\[
K(u^+, u^-, v^+, v^-, n) = E^*[u_*, v_*, Q_n] \leq \liminf_{j \to \infty} E^*[u_j, v_j, Q_n] = E^*[u, v, Q_n].
\]
The other inequality follows immediately from Lemma 4.2 and \(E \geq E^*\). \(\square\)
Next we prove two more general properties, namely, subadditivity and convexity of the surface energy \(K\), which are well known for example in the setting of variational problems on partitions [1, 2]. We start with subadditivity and its main consequence in the present setting.
**Lemma 4.4 (Subadditivity).** Let \(u^+, u^- \in \mathbb{R}, v^+, v^- \in \mathbb{R}^d, n \in S^d\). Then:
(i) For any \(u' \in \mathbb{R}, v' \in \mathbb{R}^d\) one has
\[
K(u^+, u^-, v^+, v^-, n) \leq K(u^+, u', v^+, v', n) + K(u', u^-, v', v^-, n).
\]
(ii) For any \(a \in \mathbb{R}^d\) one has
\[
K(u^+, u^-, v^+, v^-, n) \leq \alpha_u |[u]| + \alpha_v(|v^+ - a| + |v^- - a|) + \alpha_F |[u]| |(1, a) \cdot n|.
\]
**Proof.** (i): For \(j \in \mathbb{N}\) we define
\[
(u_j, v_j)(y) = \begin{cases}
(u^+, v^+) & \text{if } y \cdot n > \frac{1}{j} \\
(u', v') & \text{if } -\frac{1}{j} \leq y \cdot n \leq \frac{1}{j} \\
(u^-, v^-) & \text{if } y \cdot n < -\frac{1}{j}
\end{cases}.
\]
Clearly \((u_j, v_j) \to (u_\infty, v_\infty) = (u^-, v^-) + ([u], [v])\chi_{y \cdot n > 0}\) in \(L^1\) and \(E^*[u_j, v_j, Q_n] = K(u^+, u', v^+, v', n) + K(u', u^-, v', v^-, n)\) for all \(j > 2\). Since \(E^*\) is lower semicontinuous, we obtain
\[K(u^+, u^-, v^+, v^-, n) = E^*[u_\infty, v_\infty, Q_n] \leq \liminf_{j \to \infty} E^*[u_j, v_j, Q_n],\]
which concludes the proof.
(ii): Two applications of (i) and the fact that \(K = \alpha_v ||v||\) if \(||u|| = 0\) give
\[
K(u^+, u^-, v^+, v^-, n) \leq K(u^+, u^+, v^+, a, n) + K(u^+, u^-, a, a, n) + K(u^-, u^-, a, v^-, n)
\]
\[
\leq \alpha_v |v^+ - a| + (\alpha_u ||u|| + \alpha_F ||u||)(1, a) \cdot n)) + \alpha_v |a - v^-|.
\]
We next show that \(K\) is convex in the last argument, after having been extended to a positively one-homogeneous function. This will be linked to the possible development of oscillations of the interface.
**Lemma 4.5 (Convexity).** For given \(u^+, u^- \in \mathbb{R}, v^+, v^- \in \mathbb{R}^d\) we define \(h : \mathbb{R}^{d+1} \to \mathbb{R}\) by
\[h(n) = |n|K(u^+, u^-, v^+, v^-, \frac{n}{|n|}).\]
The function \(h\) is positively one-homogeneous and convex, in particular,
\[h(n^+ + n^-) \leq h(n^+) + h(n^-) \quad \text{for all } n^+, n^- \in \mathbb{R}^{d+1}. \tag{4.1}\]
**Proof.** Positive one-homogeneity is obvious from the definition. It implies \(\lambda h(n^+) + (1 - \lambda)h(n^-) = h(\lambda n^+) + h((1 - \lambda)n^-)\), hence convexity is equivalent to subadditivity; therefore it suffices to prove the inequality (4.1). Furthermore, it suffices to consider the case that \(|n^+ + n^-| = 1\) with \(n^+\) and \(n^-\) linearly independent (the case that \(n^+\) and \(n^-\) are parallel, including the case that one vanishes, is immediate).
By the scaling argument used in the proof of Lemma 4.3 it suffices to construct functions \((u, v) : \mathbb{R}^{d+1} \to \mathbb{R}^{d+1}\) which are periodic in the \(d\) directions orthogonal to \(n = n^+ + n^-\) and with \((u, v)(y) = (u^\pm, v^\pm)\) whenever \(\pm y \cdot n > L\), for some \(L > 0\). We shall first construct a curve \(\gamma\) that can be interpreted as the jump set of a function \(u\) satisfying the boundary conditions. The curve \(\gamma\) will consist of two subsets, one has normal \(n^+/|n^+|\) and measure \(|n^+|\), the other has normal \(n^-/|n^-|\) and measure \(|n^-|\). To make this precise, we define \(n_p^\pm = Jn^\pm\), where \(J \in SO(d+1)\) is a 90-degree rotation in the plane spanned by \(n^+\) and \(n^-\). We define
\[\gamma^+ = [0, 1)n_p^+ \quad \text{and} \quad \gamma^- = n_p^+ + [0, 1)n_p^-,\]
so that \(\gamma^-\) ends at \(n_p^+ + n_p^- = Jn\), with \(n = n^+ + n^-\). We set \(m^1 = Jn\), choose \(m^2, \ldots, m^d\) such that \(\{n, m^1, \ldots, m^d\}\) is an orthonormal basis of \(\mathbb{R}^{d+1}\), and define \(\Sigma = \mathbb{Z}m^1 + (\gamma^+ \cup \gamma^-) + \sum_{i \geq 2} m^i \mathbb{R}\), see Fig. 5 (notation: \(A + cB = \{a + cb : a \in A, b \in B\}\)). This is a \(d\)-dimensional surface, corresponding to the constant extension in the directions...
$m^2, \ldots, m^d$ of the curve obtained joining alternatively copies of the segments $\gamma^+$ and $\gamma^-$. In particular, $\mathbb{R}^{d+1} \setminus \Sigma$ has exactly two connected components; one of them, call it $\omega^-$, contains $\{y : n < -L\}$ and the other, call it $\omega^+$, contains $\{y : n > L\}$, where $L = |n^+| + |n^-| + 1$, see Fig. 5. We set $(u, v) = (u^-, v^-) + ([u], [v])\chi_{\omega^+}$. Then the normal to the jump set is $n^+/|n^+|$ on a set of measure $|n_p^+| = |n^+|$, and correspondingly for $n^-$. We define by rescaling $(u_j, v_j)(y) = (u, v)(jy)$, so that $(u_j, v_j) \to (u_*, v_*) = (u^-, v^-) + ([u], [v])\chi_{y \cdot n > 0}$ in $L^1$. Therefore, dropping the arguments $u^+, u^-, v^+, v^-$ for brevity,
$$E^*[u_*, v_*, Q_n] = h(n^+ + n^-) = K(n^+ + n^-)$$
$$\leq |n^+|K(\frac{n^+}{|n^+|}) + |n^-|K(\frac{n^-}{|n^-|}) = h(n^+) + h(n^-).$$
$\square$
### 4.2 Upper and lower bounds for $d = 1$
**Proposition 4.6** (Construction for $d = 1$). Let $d = 1$ and $u^+, u^-, v^+, v^- \in \mathbb{R}$, $n \in S^1$. Then for any $N^+ \in \mathbb{R}^2$ we have
$$K(u^+, u^-, v^+, v^-, n) \leq (\alpha_u|[u]| + \alpha_v|[v]|)\left(|N^+| + |N^-|\right) + \alpha_F[u]\left(|N^+.w^+| + |N^-.w^-|\right),$$
where $N^- = n - N^+$ and $w^\pm = (1, v^\pm)$.
**Proof.** The result follows by Lemma 4.5 and Lemma 4.4(ii), taking once $a = v^+$ and once $a = v^-$. For the sake of illustration we give here a self-contained, explicit construction.
We start by replicating the construction of Lemma 4.5. Again, we first construct a curve $\gamma$ that will be interpreted as the jump set of a function $u$ satisfying the boundary conditions, and which consists of two subsets, with the normals $N^+/|N^+|$ and $N^-/|N^-|$. Precisely, we define as in the proof of Lemma 4.5
$$\gamma^+ = [0,1)(N^+)^\perp \quad \text{and} \quad \gamma^- = (N^+)^\perp + [0,1)(N^-)^\perp,$$
so that $\gamma^-$ ends at $(N^+ + N^-)^\perp = n^\perp$. We set $\gamma = n^\perp \mathbb{Z} + (\gamma^+ \cup \gamma^-)$ and $L = |N^+| + |N^-| + 1$. Then $\mathbb{R}^2 \setminus \gamma$ has exactly two connected components and for $L$ sufficiently large one of them, call it $\omega^-$, contains $\{y \cdot n < -L\}$ and the other, call it $\omega^+$, contains $\{y \cdot n > L\}$, see Figure 5. We set $u = u^- + (u^+ - u^-)\chi_{\omega^+}$. Then $u$ fulfills the desired boundary conditions.
Ideally the function $v$ should equal $v^+$ on $\omega^+ \cup (\gamma^+ + n^\perp \mathbb{Z})$, and $v^-$ on $\omega^- \cup (\gamma^- + n^\perp \mathbb{Z})$. As an approximation we construct a function $v_\varepsilon$ as follows (cf. Figure 6). Precisely, for $\varepsilon \in (0,1)$, we set
$$\omega^+_\varepsilon = \omega^+ \cup B_\varepsilon(\gamma^+ + n^\perp \mathbb{Z}) \setminus B_\varepsilon(\gamma^- + n^\perp \mathbb{Z})$$
and $\tilde{v}_\varepsilon = v^- + (v^+ - v^-)\chi_{\omega^+_\varepsilon}$. It is easy to see that $|D\tilde{v}_\varepsilon|(Q_n) \leq |v^+ - v^-|(|N^+| + |N^-| + 4\pi\varepsilon)$. Let now $v_\varepsilon = \varphi_\varepsilon * \tilde{v}_\varepsilon \in C^\infty$, where $\varphi_\varepsilon \in C^\infty_c(B_\varepsilon)$ is a mollification kernel. Then (cf. Figure 6) there exists a constant $c$, such that
(i) $v_\varepsilon = v^-$ on $\gamma^-; \mathcal{H}^1(\gamma^+ \setminus \{v_\varepsilon = v^+\}) \leq c\varepsilon$,
(ii) $\int_{Q_n} |\nabla v_\varepsilon| \ dy \leq ||v||(|N^+| + |N^-| + c\varepsilon)$,
(iii) $v_\varepsilon = v^\pm$ on $\{\pm y \cdot n > L\}$.
Thus $(u,v_\varepsilon) \in A^C$ and a straightforward computation shows that
$$E[u,v_\varepsilon,Q_n] = (\alpha_u ||u|| + \alpha_v ||v||)\left(|N^+| + |N^-| + c\varepsilon\right)$$
$$+ \alpha_F ||u||\left(|N^+ \cdot w^+| + |w^- \cdot N^-| + c||v||\varepsilon\right).$$
Finally, we can take $\varepsilon$ arbitrarily small, which establishes the claim.
In order to prove the lower bound in Theorem 2.1 (ii) we need the following truncation lemma. As it is frequently the case in truncation, this can only be done if the relevant field (the velocity here) is scalar, and the result is therefore restricted to $d = 1$.
**Lemma 4.7** (Truncation for $d = 1$). Let $d = 1$ and $u^+, u^-, v^+, v^- \in \mathbb{R}$ be such that $v^- \leq v^+$. Let $n \in S^1$, $(u,v) \in A^C$ and $\overline{v}: Q_n \to [v^-, v^+]$ be defined as
$$\overline{v}(y) = \begin{cases}
v(y) & \text{if } v^- \leq v(y) \leq v^+, \\
v^+ & \text{if } v^+ < v(y), \\
v^- & \text{if } v(y) < v^-.
\end{cases}$$
If $|u| \leq 2\frac{\alpha_v}{\alpha_F}$, then we have
$$\alpha_v \int_{Q_n} |\nabla v| \ dy + \alpha_F \int_{Q_n} w \cdot Du \geq \alpha_v \int_{Q_n} |\nabla \bar{v}| \ dy + \alpha_F \int_{Q_n} \overline{w} \cdot Du,$$
where $w = (1, v)$ and $\overline{w} = (1, \bar{v})$.
**Proof.** Let $Q_n^- = \{y \in Q_n : u(y) = u^-\}$, $\gamma = (\partial Q_n^-) \cap Q_n$ and $n^\gamma$ be the outer normal to $Q_n^-$ on $\gamma$, so that $Du = [u] \otimes n^\gamma d\mathcal{H}^1 \llcorner \gamma$. We want to estimate the term
$$\alpha_F \int_{Q_n} (\overline{w} - w) \cdot Du = \alpha_F[u] \int_\gamma (\overline{w} - w) \cdot n^\gamma \ d\mathcal{H}^1.$$
Since $\overline{w} - w$ vanishes on $\{y \cdot n = -1/2\}$ and it is periodic in the direction $n^\perp$ we have that $\int_{\partial Q_n^- \setminus \gamma} (\overline{w} - w) \cdot \nu \ d\mathcal{H}^1 = 0$ (here $\nu$ is the outer normal to $Q_n^-$), and the same on $Q_n^+ = Q_n \setminus Q_n^-$. Therefore by the Gauss-Green formula
$$\int_\gamma (\overline{w} - w) \cdot n^\gamma \ d\mathcal{H}^1 = \int_{Q_n^-} \text{div}(\overline{w} - w) \ dy = - \int_{Q_n^+} \text{div}(\overline{w} - w) \ dy.$$
Estimating $|\text{div } w| \leq |\nabla v|$ and averaging over the two sides of $\gamma$ we obtain
$$\alpha_F \int_{Q_n} (\overline{w} - w) \cdot Du \leq \alpha_F \frac{|[u]|}{2} \int_{Q_n} |\text{div}(\overline{w} - w)| \ dy \leq \alpha_F \frac{|[u]|}{2} \int_{Q_n} |\nabla \bar{v} - \nabla v| \ dy$$
$$= \alpha_F \frac{|[u]|}{2} \left( \int_{Q_n} |\nabla v| \ dy - \int_{Q_n} |\nabla \bar{v}| \ dy \right)$$
$$\leq \alpha_v \int_{Q_n} |\nabla v| \ dy - \alpha_v \int_{Q_n} |\nabla \bar{v}| \ dy,$$
where we used that locally either $v = \bar{v}$ and $\nabla v = \nabla \bar{v}$, or $\nabla \bar{v} = 0$. This concludes the proof. \qed
At this point we present the key lower bound in the one dimensional case. The main idea is to reduce the energy to an integral on the jump set of $u$ and separate it into different parts, in order to show that the optimal curve has a structure similar to the one used for the construction in the upper bound and illustrated in Figure 5. For this we start from the reduction to intensity maps $u$ which are characteristic functions, done in Lemma 4.2, and the truncation of $v$, discussed in Lemma 4.7. Then we show that we can consider also functions $v$ which take only two values, and use this to subdivide $\gamma$ into two subsets, a strategy similar to the one used in [16, Lemma 4.5] to obtain the relaxation of a line-tension model for dislocations in crystals.
**Proposition 4.8 (Lower bound for $d = 1$).** Let $d = 1$, $u^+, u^-, v^+, v^- \in \mathbb{R}$, $n \in S^1$ be such that $||u|| \leq 2\frac{\alpha_u}{\alpha_F}$. Then $K(u^+, u^-, v^+, v^-, n) \geq \min_{N^+ \in \mathbb{R}^2} \underline{K}(N^+)$ where
$$\underline{K}(N^+) = (\alpha_u ||u|| + \alpha_v ||v||)\left(|N^+| + |n - N^+|\right) + \alpha_F ||u|| \left|N^+ \cdot w^+ + (n - N^+) \cdot w^-\right|.$$
Remark. If $(w^- \cdot n)(w^+ \cdot n) \leq 0$ then the minimizer $N^+_*$ belongs to the segment $[0, n]$ and makes the last term vanish, the bound reduces to $K \geq \underline{K}(N^+_*) = (\alpha_u ||u|| + \alpha_v ||v||)$.
**Proof.** By Lemma 4.1 we can assume without loss of generality that $v^- \leq v^+$. Let $(u, v) \in A^C$. By Lemma 4.7 we may further assume that $v^- \leq v \leq v^+$. We write $u = u^+ - [u]\chi_{Q_n^-}$ for a set $Q_n^- \subset Q_n$ of finite perimeter. Using the abbreviation $\gamma = (\partial Q_n^-) \cap Q_n$ and $n^\gamma$ for the outer normal to $Q_n^-$ on $\gamma$ we have as in the proof of Lemma 4.7 $Du = [u]n^\gamma \mathcal{H}^1 \llcorner \gamma$ and
$$E[u, v, Q_n] = \alpha_u \int_{Q_n} |Du| + \alpha_v \int_{Q_n} |\nabla v| \ dy + \alpha_F \int_{Q_n} |w \cdot Du|.$$
We estimate
$$E[u, v, Q_n] \geq \alpha_u ||u|| \mathcal{H}^1(\gamma) + \alpha_v \left|\int_{Q_n^-} \nabla v \ dy\right| + \alpha_v \left|\int_{Q_n^+} \nabla v \ dy\right| + \alpha_F ||u|| \left|\int_\gamma w \cdot n^\gamma \ d\mathcal{H}^1\right|.$$
This is the key estimate to establish the lower bound, and it is sharp if the three integrands have a constant orientation on the respective domains.
We observe that the quantity on the right-hand side depends only on the value of $v$ on $\gamma$. Indeed, since $v$ is periodic in the direction orthogonal to $n$ and $\int_\gamma n^\gamma \ d\mathcal{H}^1 = n$,
$$\int_{Q_n^-} \nabla v \ dy = \int_\gamma vn^\gamma \ d\mathcal{H}^1 - v^- n = \int_\gamma (v - v^-)n^\gamma \ d\mathcal{H}^1$$
and the same on $Q_n^+$. We therefore define $G : L^\infty(\gamma, [v^-, v^+]) \to \mathbb{R}$ by
$$G[\tilde{v}] = \alpha_v \left|\int_\gamma (\tilde{v} - v^-)n^\gamma \ d\mathcal{H}^1\right| + \alpha_v \left|\int_\gamma (\tilde{v} - v^+)n^\gamma \ d\mathcal{H}^1\right| + \alpha_F ||u|| \left|n_0 + \int_\gamma \tilde{v}n^\gamma_1 \ d\mathcal{H}^1\right|,$$
so that (we recall that $n_0$ is the time component, $n_1$ the space component)
$$E[u, v, Q_n] \geq \alpha_u ||u|| \mathcal{H}^1(\gamma) + \min G.$$
Existence of a minimizer in $L^\infty(\gamma, [v^-, v^+])$ follows immediately from the convexity of the functional $G$. Even more, the functional $G$ is weakly continuous on $L^\infty(\gamma)$, and therefore for any $\varepsilon > 0$ there is $v_* \in L^\infty(\gamma, \{v^-, v^+\})$ such that $G(v_*) \leq \min G + \varepsilon$. This permits us to reduce to the situation where also the velocity $v$ takes only two values.
We split $\gamma$ into two subsets depending on the value of $v_*$:
$$\gamma^- = \{y \in \gamma : v_*(y) = v^-\} \quad \text{and} \quad \gamma^+ = \{y \in \gamma : v_*(y) = v^+\},$$
and define
$$N^- = \int_{\gamma^-} n^\gamma \, d\mathcal{H}^1 \quad \text{and} \quad N^+ = \int_{\gamma^+} n^\gamma \, d\mathcal{H}^1.$$
These quantities characterize the effective orientation of $\gamma^+$ and $\gamma^-$, corresponding to the two normals in Proposition 4.6 and Lemma 4.5. Since $v_*$ is constant in each of the two subsets of $\gamma$, by convexity one could assume that $n^\gamma$ is also constant on each of them, and then rearrange so that $\gamma$ is composed of two segments. This illustrates the idea behind the energy bound, however it is not needed to conclude the proof.
It suffices indeed to separate the integrals in the definition of $G$ into a $\gamma^+$ and a $\gamma^-$ part, then a short computation gives
$$G[v_*] = \alpha_v |[v]| (|N^+| + |N^-|) + \alpha_F |[u]| |n_0 + v^+ N_1^+ + v^- N_1^-|$$
$$= \alpha_v |[v]| (|N^+| + |N^-|) + \alpha_F |[u]| |w^+ \cdot N^+ + w^- \cdot N^-|,$$
where $w^\pm = (1, v^\pm)$. Since $\mathcal{H}^1(\gamma) \geq |N^+| + |N^-|$ and by periodicity $N^+ + N^- = n$ this gives
$$E[u, v, Q_n] \geq K(N^+) - \varepsilon \geq \min_{N^+ \in \mathbb{R}^2} K(N^+) - \varepsilon$$
for all $(u, v) \in A^C$ and $\varepsilon > 0$, which concludes the proof. \hfill \square
### 4.3 Proofs of Theorem 2.1 and 2.2
At first we prove a lower bound in the higher dimensional case.
**Proposition 4.9** (Lower bound for $d \geq 1$). For $(u, v) \in A^C$ let us define $Q_n^- = \{y \in Q_n : u(y) = u^-\}$ and $W = (W)_{i=1,\ldots,d} = \int_{J_u} v \otimes \nu \, d\mathcal{H}^d \in \mathbb{R}^{d \times (d+1)}$ with $\nu$ denoting the outer normal of $Q_n^-$ on $J_u$. Then
$$E[u, v, Q_n] \geq \alpha_F |[u]| n_0 + \alpha_u |[u]| + f(W),$$
where $f(W) = \alpha_F |[u]| |\sum_{k=1}^d W_{kk} + \alpha_v (|v^- \otimes n - W| + |v^+ \otimes n - W|)|$.
Proof. Repeating the first steps in the proof of Proposition 4.8 one verifies
\[
E[u, v, Q_n] \geq \alpha_F |[u]| \int_{J_u} w \cdot \nu \, d\mathcal{H}^d + \alpha_v \int_{Q_n} |\nabla v| \, dy + \alpha_u |[u]| \mathcal{H}^d(J_u)
\]
\[
\geq \alpha_F |[u]| \int_{J_u} w \cdot \nu \, d\mathcal{H}^d + \alpha_v \left| \int_{Q_n} \nabla v \, dy \right| + \alpha_v \left| \int_{Q_n^+} \nabla v \, dy \right| + \alpha_u |[u]|
\]
\[
= \alpha_F |[u]| \left( n_0 + \sum_{k=1}^{d} W_{kk} \right) + \alpha_v \left( |v^- \otimes n - W| + |v^+ \otimes n - W| \right) + \alpha_u |[u]|
\]
\[
= \alpha_F |[u]| n_0 + \alpha_u |[u]| + f(W).
\]
Since we do not have a sharp truncation result in this case the following steps in the proof of Proposition 4.8 based on the functional $G$ do not extend to this situation. □
Now we proceed with the proofs of the main theorems.
Proof of Theorem 2.1. First we treat the case (i), where the optical flow constraint can be satisfied locally.
To prove the upper bound we first choose $t \in [0, 1]$ such that $(1, v^- t + v^+(1-t)) \cdot n = 0$. The upper bound follows then from Lemma 4.4(ii), taking $a = v^- t + v^+(1-t)$. For the sake of illustration we give also an explicit construction here. Let $\varphi : \mathbb{R} \to \mathbb{R}$ be a smooth monotone function such that $\varphi(-\frac{1}{2}) = 0$, $\varphi(0) = t$ and $\varphi(\frac{1}{2}) = 1$. We set
\[
u(y) = u^- + (u^+ - u^-) \chi_{y \cdot n < 0} \text{ and } v(y) = v^- + (v^+ - v^-) \varphi(y \cdot n)
\]
and observe that $(u, v) \in A^C$. A simple computation shows that $K \leq \alpha_u |[u]| + \alpha_v |[v]|$.
To prove the lower bound we choose $(u, v) \in A^C$ and verify using convexity and periodicity
\[
E[u, v, Q_n] \geq \alpha_u |[u]| + \alpha_v |[v] \otimes n| = \alpha_u |[u]| + \alpha_v |[v]|.
\]
This concludes the proof of (i).
The upper bound in (ii) follows immediately from the construction in Proposition 4.6. The lower bound in (ii) was proven in Proposition 4.8.
Finally, to prove (iii) we observe that Lemma 4.5 shows that if $n = \sum_{j=1}^{l} N^j \in S^d$ then
\[
K(u^+, u^-, v^+, v^-, n) = h(\sum_{j=1}^{l} N^j) \leq \sum_{j=1}^{l} h(N^j) = \sum_{j=1}^{l} |N^j| K(u^+, u^-, v^+, v^-, \frac{N^j}{|N^j|}).
\]
Using the bound from Lemma 4.4(ii) in each term in the sum gives the assertion. □
Proof of Theorem 2.2. (i): The first assertion immediately follows from Theorem 2.1 (i) and its proof.
(ii): By Proposition 4.8 we have $K \geq \min K(\mathbb{R}^2)$, where
\[
\underline{K}(N^+) = (\alpha_u |[u]| + \alpha_v |[v]|) \left( |N^+| + |n - N^+| \right) + \alpha_F |[u]| |w^- \cdot n + [v]N^+_1|.
\]
We first show that if $[v](w^- \cdot n)n_1 > 0$ then $N^+ = 0$ is a minimizer of $\underline{K}$. Since $N^+ \mapsto |n - N^+|$ is convex, it lies above its tangent, $|n - N^+| \geq 1 - n \cdot N^+$. Using $|w^- \cdot n + [v]N^+_1| \geq |w^- \cdot n| + \text{sign}(w^- \cdot n)[v]N^+_1$ for the last term we obtain
$$\frac{\underline{K}(N^+) - \underline{K}(0)}{\alpha_u|[u]| + \alpha_v|[v]|} \geq (|N^+| - n \cdot N^+) + \alpha_F|[u]|\text{sign}(w^- \cdot n)[v]N^+_1.$$
Using the fact that $[v](w^- \cdot n)n_1$ is positive we obtain
$$\frac{\underline{K}(N^+) - \underline{K}(0)}{\alpha_u|[u]| + \alpha_v|[v]|} \geq |N^+| - n \cdot N^+ + \xi n_1 N^+_1,$$
where
$$\xi = \frac{\alpha_F|[u]||[v]|}{(\alpha_u|[u]| + \alpha_v|[v]|)|n_1|}.$$
Since by assumption $\xi \in [0, 2]$ we have
$$n \cdot N^+ - \xi n_1 N^+_1 = (1 - \xi)n_1 N^+_1 + n_0 N^+_0 \leq |n||N^+| = |N^+|,$$
therefore $\underline{K}(N^+) \geq \underline{K}(0)$.
Recalling the upper bound we have $\underline{K}(0) \leq K \leq \overline{K}(0)$, and since $\overline{K}(0) = \underline{K}(0)$ we conclude that in the case $[v](w^- \cdot n)n_1 > 0$ one has $K = \overline{K}(0) = \alpha_u|[u]| + \alpha_v|[v]| + \alpha_F|[u]|w^- \cdot n|$, with a simple profile since we have set $N^+ = 0$ in the construction of the upper bound. The same result still holds if $[v] = 0$, as a simple inspection of the lower bound shows.
Swapping $(u^+, v^+)$ with $(u^-, v^-)$ and using Lemma 4.1 we obtain that if $[v](w^+ \cdot n)n_1 < 0$ then $K = \overline{K}(n) = \alpha_u|[u]| + \alpha_v|[v]| + \alpha_F|[u]|w^+ \cdot n|$, again with a simple profile. For $[v] = 0$ the two assertions coincide. Since for $n_1 = 0$ our assumption $\xi \leq 2$ is only satisfied in the trivial case $[u] = 0$ and $[v] = 0$, we have shown that if $w^+ \cdot n$ and $w^- \cdot n$ are nonzero and have the same sign the profile is simple and the interfacial energy is either $\overline{K}(0)$ or $\overline{K}(n)$; since they are both admissible the energy necessarily is the minimum of the two.
(iii): At first we observe that Lemma 4.4 (ii) implies that $\alpha_F \min\{|w^- \cdot n|, |w^+ \cdot n|\} + \alpha_v|[v]| + \alpha_u|[u]|$ is an upper bound. Swapping $n$ with $-n$ we can assume that $w^+ \cdot n$ and $w^- \cdot n$ are strictly positive, swapping $(u^+, v^+)$ with $(u^-, v^-)$ we can assume that
$$0 < w^- \cdot n \leq w^+ \cdot n.$$
From Proposition 4.9 we know that $E[u, v, Q_n] \geq \alpha_F|[u]|n_0 + \alpha_u|[u]| + f(W)$ with
$$f(W) = \alpha_F|[u]| \sum_{k=1}^{d} W_{kk} + \alpha_v(|v^- \otimes n - W| + |v^+ \otimes n - W|).$$
Notice that
$$f(v^- \otimes n) = \alpha_F|[u]| \sum_{k=1}^{d} v_k^- n_k + \alpha_v|[v]|.$$
As \( w^+ \cdot n \geq w^- \cdot n \geq 0 \) it suffices to show that \( f \) has a minimum at \( v^- \otimes n \). Since \( f \) is convex this is the case if and only if 0 is a subgradient at \( v^- \otimes n \). It can be easily seen that the set of subgradients of \( f \) at \( v^- \otimes n \) is
\[
\partial f(v^- \otimes n) = \alpha_F ||u|| (\delta_{ij})_{1 \leq i, j \leq d} + \alpha_v \left( \frac{B_1(0)}{v} - \frac{[v] \otimes n}{||v||} \right).
\]
Hence \( 0 \in \partial f(v^- \otimes n) \) if and only if
\[
\frac{\alpha_F}{\alpha_v} ||u|| (\delta_{ij})_{1 \leq i, j \leq d} - \frac{[v] \otimes n}{||v||} \in B_1(0) \subset \mathbb{R}^{d(d+1)}
\]
(we recall that we are using the Euclidean norm on \( \mathbb{R}^{d(d+1)} \)). Squaring the left hand side shows that this is equivalent to
\[
\left( \frac{\alpha_F}{\alpha_v} \right)^2 ||u||^2 d - 2 \frac{\alpha_F}{\alpha_v} ||u|| \frac{[w] \cdot n}{||v||} + 1 \leq 1
\]
which in turn is the same as
\[
\frac{\alpha_F}{\alpha_v} ||u|| d - 2 \frac{[w] \cdot n}{||v||} \leq 0.
\]
This holds since we are in the case \( [w] \cdot n \geq 0 \) and by assumption \( 2\alpha_v ||w| \cdot n| \geq \alpha_F d ||u|| ||v|| \).
We finally prove (iv). The upper bound follows from Theorem 2.1(iii) with \( l = 1 \). To prove the lower bound, we observe that the construction in Lemma 4.2 does not modify the property of being one-dimensional, hence we can assume that \( u, v \in A^C \) are of the form \( u = u^- + [u] \chi_\omega(y \cdot n), v = \tilde{v}(y \cdot n) \), for some set of finite perimeter \( \omega \subset \mathbb{R}^{d+1} \) and some function \( \tilde{v}: \mathbb{R} \to \mathbb{R}^d \). Then, setting \( t_* \in J_u = \partial \omega \),
\[
E[u, v, Q_n] \geq \alpha_u ||u|| + \alpha_v \int_{-1/2}^{1/2} |\tilde{v}'|(t) dt + \alpha_F ||u|| \langle 1, \tilde{v}(t_*) \rangle \cdot n \rangle.
\]
With \( a = \tilde{v}(t_*) \) the assertion follows.
\[\square\]
### 4.4 Illustration of expected microstructures for \( d \geq 1 \)
In the higher dimensional case (\( d > 1 \)) the upper bound in Theorem 2.1 (iii) refers to a set of vectors \( (N^1, \ldots, N^l) \). In the case \( d = 1 \) the corresponding vectors \( N^+ \) and \( N^- \) explicitly appear in a geometric construction of a microscopic pattern in the proof of Proposition 4.6. Using the convexity of the microscopic energy \( K \) stated in Lemma 4.5 this explicit construction is not required in the proof of Theorem 2.1 (iii). Nevertheless, explicit microscopic patterns can be constructed, where the vectors \( N^j \) are weighted normals with \( \frac{N^j}{|N^j|} \) being the normal on a set of interface facets of total area \( |N^j| \). Figure 7 sketches for \( d = 2 \) such a microscopic pattern with three weighted normals
\[
Q \left( \begin{array}{c}
\frac{1}{4} \\
-\frac{1}{4} \\
\frac{1}{4}
\end{array} \right), \quad Q \left( \begin{array}{c}
-\frac{1}{2} \\
-\frac{1}{2} \\
\frac{1}{2}
\end{array} \right), \quad Q \left( \begin{array}{c}
\frac{1}{4} \\
\frac{3}{4} \\
\frac{1}{4}
\end{array} \right),
\]
where $Q$ is a suitable rotation in $\mathbb{R}^3$. The resulting effective interface normal $n = N^1 + N^2 + N^3 = Q(0, 0, 1)^T$ is the macroscopic normal on the jump set $J_u$. The underlying pattern is based on nested lamination, i.e. a lamination pattern of facets perpendicular to $N^2$ and $N^3$ (plotted in light and dark orange) is altered with facets perpendicular to $N^1$ (plotted in green). To compensate the lack of rank-1 consistency a thin transition pattern is introduced in between (plotted in grey).
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Heart Throb
Web site: www.linedancerweb.com
E-mail: [email protected]
68 Count, 4 Wall, Intermediate Choreographer: Chris Watson & Maddison Glover (AU) Choreographed to: I'm Only In It For The Love by Trini Triggs
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7 th Grade Math
Mrs. Mathias
Materials: Each student should bring the following items to class every day: a spiral notebook, Math workbook, and pencil.
Text: McGraw Hill: Glencoe Math: Course 2; Volume 1 & 2
Online Resources: I-Ready, IXL, Kahn Academy, Achieve 3000, Teacher.Desmos.com
Focus: Reasoning abstractly, quantitatively, and appropriately to make real-world applications in problem solving.
Semester 1 (August- January)
Semester 2 (February-June)
1. Unit 1: Ratios and Proportional Relationships
* Analyze proportional relationships and use them to solve real-world and mathematical problems.
2. Unit 2: The Number System
* Apply and extend previous understandings of operations with fractions to add, subtract, multiply, and divide rational numbers.
3. Unit 3: Expressions and Equations
* Use properties of operations to generate equivalent expressions.
* Solve real-life mathematical problems using numerical and algebraic expressions and equations.
4. Unit 4: Geometry
* Draw, construct, and describe geometrical figures and describe the relationships between them.
* Solve real-life and mathematical problems involving angle measure, area, surface area, and volume.
5. Unit 5: Statistics and Probability.
* Use random sampling to draw inferences about a population.
* Draw informal comparative inferences about two populations.
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International Journal of Engineering Business and Social Science
Vol. 2 No. 01, September-October 2023, pages: 805-815
e-ISSN: 2980-4108, p-ISSN: 2980-4272
https://ijebss.ph/index.php/ijebss
The Implementation of Merdeka Learning Curriculum by Minister of Education at Senior High School in Banda Aceh
Maisal Rahmadi Aka, Khairuddin, Ismail
Universitas Syah Kuala
Email: [email protected]
Abstract
School supervisors have the main tasks of monitoring, supervising and evaluating the implementation of education. The existence of school supervisors is to provide guidance and supervision in increasing the effectiveness of education in schools. Therefore, the purpose of this study was to describe: (1) the supervisory development program regarding the academic supervision competency of the principals; (2) the implementation of the supervisory development program; (3) the evaluation of the supervisory development program; and (4) the follow-ups of the supervisory development program. This qualitative research was conducted by means of a descriptive approach in State Kindergarten 2 and State Kindergarten 6 of Banda Aceh City. The data were collected through interviews, observation, and documentation. The results showed that: (1) the preparation of the supervisory development program was carried out at the beginning of the fiscal year and consisted of a managerial program plan and an academic program plan. In addition; (2) the implementation of the program had particular stages and schedules; and (3) the evaluation of the program was more about the personal assessment of the principal with certain supervision schedules. Lastly, (4) the follow-ups and the solution regarding the obstacles were in the forms of facilitating training programs related to teacher performance assessment, increasing the intensity of supervision or class visits and increasing programs for academic supervision and teacher performance assessment on a regular and continuous basis.
© 2023 by the authors. Submitted for possible open access publication
under the terms and conditions of the Creative Commons Attribution (CC BY SA)
license (https://creativecommons.org/licenses/by-sa/4.0/).
1. Introduction
Law Number 14 of 2005 concerning teachers and lecturers is one of the implementations of the demands for improvement in quantity, quality, effectiveness, and efficiency related to education which is evidence of the development of a new paradigm of the teaching and lecturer profession and the needs of policy makers. The birth of government policy contained in Government Regulation Number 19 of 2005 concerning National Education Standards (SNP) has also become one of the solutions to the problem of improving the basic competence of teachers. The basic competencies mentioned consist of four components, namely pedagogic competence, professional competence, personality competence, and social competence (Pantiwati, Chamisijatin, Zaenab, & Aldya, 2023).
Keywords
Effectiveness, Academic Supervision and Teacher Performance.
The progress of a country is certainly inseparable from the development of its education system. Since 2003 – 2018, Indonesia has shown significant improvement to the world through the PISA (Programme International Student Assessment) chart. OECD (Organization of Economic Cooperation and Development) has noted Indonesia's PISA ranking in 2018 is still at the bottom. The PISA reading ranking fraction is ranked 70th out of 77 countries. For Mathematics scores, Indonesia is ranked 72 out of 78 countries. While the Science score is at 70 out of 78 countries involved. The value tends to stagnate from the previous year. Of course, this is inseparable from the role of teachers in developing teaching and learning efforts or techniques (Purwanti, 2021).
Without proper education, people will languish on the fringes of society, the state will not be able to benefit from technological progress so that progress cannot be processed into social progress. The impact of this is the inability to realize a fair and inclusive policy. In addition, the government will have difficulty involving the community to lead to full change if there is a lack of education. Of course, this is inseparable from the education system, learning methods, teacher creativity, and also other considerations (Restu, Sriadhi, Gultom, & Ampera, 2022).
Article 31 of the 1945 Constitution of the Unitary State of the Republic of Indonesia states that every citizen has the right to quality education. As an effort to continue and develop policies to improve and equalize the quality of education, the Ministry of Education and Culture (Kemendikbud) initiated the Mobilizer School Program. The Driving School seeks to encourage education units to carry out self-transformation to improve the quality of learning in schools, then scan other schools to make similar quality improvements.
Merdeka Belajar is the freedom of thought that begins and ends with teachers who invite educational elements to participate in advancing education in Indonesia (Kusumaryono, 2020). However, the new policy initiated by Minister of Education and Culture Nadiem Makarim during his early term in office caused perceptions in all circles of society, especially in the field of education. Supposedly, ministerial policies can be implemented in all educational institutions in Indonesia. However, whether all these policies have been implemented, exactly is unknown. Therefore, this study intends to analyze how teachers' perceptions in carrying out the implementation of the Ministry of Education and Culture's Freedom of Learning policy at the Senior High School level, especially in Banda Aceh City (Supriati, Dewi, Supriyanti, & Azizah, 2022). The implementation of the Independent Curriculum is realized for learning recovery based on the following policies as stated in Permendikbudristek No.5 year 22 relating to Graduate Competency Standards in Early Childhood Education, Primary Education, and Secondary Education. Graduate Competency Standards are minimum criteria regarding the unity of attitudes, skills, and knowledge that show the achievement of students' abilities from their learning outcomes at the end of the education level (Satiti & Falikhatun, 2022).
The Permendikbudristek No.7 of 2022 relates to content standards in Early Childhood Education, Primary Education, and Secondary Education. Content standards are developed through the formulation of the scope of material in accordance with the competence of graduates. The scope of the material is study material in learning content formulated based on: 1) mandatory content in accordance with the provisions of laws and regulations; 2) scientific concepts; 3) path, level, and type of education. Content standards are a reference for the 2013 curriculum, emergency curriculum, and independent curriculum (Krishnapatria, 2021).
Permendikbudristek No. 56 of 2022 relating to guidelines for curriculum implementation in the context of learning recovery contains three curriculum options that can be used in education units in the context of learning recovery and the structure of the Independent Curriculum, rules related to learning, assessment, and teacher workload (Yulianto, 2022). Meanwhile, the Decree of the Head of BSKAP No.009/H/KR/2022 of 2022 decided that education units can implement the Merdeka curriculum in stages according to their respective readiness. The decree also lists three options that can be decided by the education unit on the Implementation of the Independent Curriculum in the 2022/2023 school year, namely:
1. Implementing some parts and principles of the Independent Curriculum without replacing the curriculum of the educational unit that is being implemented.
2. Implementing the Independent Curriculum using the teaching tools provided.
3. Implementing the Independent Curriculum by developing various teaching tools yourself.
Merdeka Belajar is the freedom of thought that begins and ends with teachers who invite educational elements to participate in advancing education in Indonesia (Kusumaryono, 2020). However, the new policy initiated by Minister of Education and Culture Nadiem Makarim during his early term in office caused perceptions in all circles, especially in the field of education. Supposedly, ministerial policies can be implemented in all educational institutions in Indonesia. However, whether all these policies have been implemented, exactly is unknown. Therefore, this study intends to analyze how school readiness in carrying out the implementation of the
Independent Curriculum of the Ministry of Education and Culture at the Senior High School level, especially in Banda Aceh City (Pratikno, Hermawan, & Arifin, 2022).
According to the theory of policy implementation proposed by George C. Edward (in Subarsono, 2011) states that policy implementation is influenced by four variables that are interconnected with each other, namely communication, resources, disposition, and also bureaucratic structure. In particular, this study aims to obtain an overview of:
1. To find out school planning for the implementation of the Ministry of Education and Culture's Freedom of Learning policy in Senior High Schools in Banda Aceh City.
2. To find out the implementation stage of the Ministry of Education and Culture's Freedom of Learning policy in several High Schools in Banda Aceh City.
3. To find out the obstacles experienced by schools in implementing the Ministry of Education and Culture's Freedom of Learning policy in Banda Aceh City High Schools.
To facilitate the formulation of research instruments and data collection in the field, research objectives can be described in the form of research questions as follows:
1. How is the school planning in implementing the Freedom of Learning policy in Senior High Schools in Banda Aceh City?
2. How is the implementation of the Freedom of Learning policy in several high schools in Banda Aceh City?
3. What are the obstacles faced by teachers in implementing Merdeka Belajar in Senior High Schools in Banda Aceh City?
At this stage, researchers search for several studies that have been conducted previously that have a discussion relationship with this study. This is done to determine the correlation of discussion in this study with research that has been done before, so that there is no repetition of discussion or similarity of research. In this case, researchers searched several sources including the following:
Research conducted by (Ratsyari, 2021) related to "School Readiness for the Implementation of Independent Learning at SMK YPP Purworejo" which was carried out with a qualitative approach, based on this research, the results are: (1) the principal's policy on school examinations in 2021 applies an exam form that can be developed by each teacher with flexible exam times in accordance with the form of school exam assessment. (2) The planning of the Minimum Competency Assessment (AKM) in 2021 is based on the principal's policy by assigning literacy summary tasks to students. In addition, teachers also make questions in the learning module which include questions of understanding, comparison, reasoning, analysis, and evaluation. Next, the Guidance Counseling teacher provides time and opens the counseling period every Saturday. (3 The Learning Implementation Plan (RPP) is prepared by observing and using three principles of RPP preparation, namely the principles of efficiency, effectiveness, and student-oriented. (4) Admission of New Students (PPDB) shall continue to follow the rules of the Provincial Education and Culture Office (Rizki & Fahkrunisa, 2022).
Furthermore, research related to the "Survey of the Implementation of the Independent Learning Curriculum in Physical Education Learning at SMA Negeri 1 Purwoasri" conducted by (Subandrio & Kartiko, 2021) with quantitative methods found the following results: (1) the performance of PJOK teachers during the learning process was found to be good with a percentage of 33.33%. (2) The implementation and understanding of the Merdeka Belajar curriculum is good from being at a good stage. (3) The implementation of RPP 1 sheet and the impact on students are also ranked well. The overall result of the percentage of implementation of the Merdeka Belajar curriculum in PJOK learning at SMA 1 Purwoasri can be said to run very well from the teacher's side and from the principal's side with the overall percentage being 66.67% (Very Good). The implementation of the independent curriculum in PJOK learning is expected to increase so as to provide a better impact on students through the experience gained in Merdeka Belajar (Ingtias, Ampera, Farihah, Amal, & Purba, 2022).
From several previous studies that have been stated above, it can be concluded that there are gaps in this study and also previous research, such as research location, research subject, research methodology, and also research results. Based on the research gap, the researchers in this study focus on the implementation of the independent learning policy as a whole by applying qualitative research methods.
2. Materials and Methods
This research uses a qualitative research approach with the aim of describing, explaining, explaining, and answering in detail the problem under study. This approach understands the phenomena experienced by the research subject through descriptions in the form of words and language. This research focuses on "Implementation of the
Ministry of Education and Culture's Free Learning Policy in Senior High Schools in Banda Aceh City." This research method involved school principals, vice principals for curriculum, and subject teachers from two high schools in Banda Aceh, namely SMAN 3 Banda Aceh and SMAN 7 Banda Aceh. The main data collection technique is a semi-structural interview with interview guides and documentation as a complement. The data analysis process involves three steps, namely data reduction to summarize and select important information, data presentation through various forms of presentation such as tables and narrative text, and data verification to draw conclusions. Conclusions in qualitative research are provisional and may evolve along with further data collection.
The research method used in this study is qualitative method. Qualitative method is a research approach that aims to describe, explain, and explain the problem under study by using words and language as a means to understand the phenomena experienced by the research subject. The focus of this research is on "Implementation of the Ministry of Education and Culture's Free Learning Policy in Senior High Schools in Banda Aceh City."
The type of qualitative research used in this study is a case study. A case study is research that examines a particular case in a particular time and activity, with the aim of obtaining an in-depth description of the entity under study. The subjects of the study consisted of school principals, vice principals for curriculum, and study teachers from SMAN 3 Banda Aceh and SMAN 7 Banda Aceh.
Data collection was conducted through semi-structural interviews with interview guides and documentation as complementary. Interviews are used to obtain information from research subjects, while documentation is used to provide additional evidence to the data obtained.
The data analysis process consists of three steps, namely data reduction to summarize important information, presentation of data through various formats such as tables and narrative text, and data verification to draw conclusions. Conclusions in qualitative research are provisional and may evolve as further data are collected. This data analysis technique aims to gain a deep understanding of the problem under study.
3. Results and Discussions
All data obtained by researchers will be presented in descriptive form, namely by explaining through word descriptions so that they become sentences that are easy to understand so that the data presented is more directed and obtain a clear picture of the research results to answer research questions pleased with the principal's managerial in improving school quality culture in public elementary schools in Banda Aceh (SDN 24, SDN 54, SDN 44 and SDN 16) the results of this researcher can be systematically described as follows:
Results of research at SDN 24 school
Based on the results of interviews with the Principal about (1) the principal's managerial (2) The principal's managerial strategy in improving the school quality culture.
Managerial principal
SD NEGERI 24 BANDA ACEH is one of the elementary education units in Kota Baru, Kuta Alam District, Banda Aceh City, Aceh. In carrying out its activities, SD NEGERI 24 BANDA ACEH is under the auspices of the Ministry of Education and Kebudayaan.SD NEGERI 24 BANDA ACEH is located at Jl. Tengku Tanoh Abee No.1 Lampineung, Kota Baru, Kec. Kuta Alam, Banda Aceh City, Aceh, with zip code 23125. The school website can be opened via http://sdn24.bubucollections.com url. If you want to send an electronic mail (email), it can be sent to [email protected].
Research Results
This research involved two high schools in Banda Aceh City, namely SMAN 3 Banda Aceh City and SMAN 7 Banda Aceh City. SMAN 3 Banda Aceh City is located in the center of Banda Aceh with a school building area of 12,160m2 inaugurated in 1977. This school is one of the most popular schools in Banda Aceh. Currently, SMAN 3 Banda Aceh is led by Mr. Muhibbul Khibri, S.Pd., M.Pd with 68 teachers and 900 students. SMAN 3 Banda Aceh is a pioneer school for Mover Schools in Aceh Province.
Meanwhile, SMAN 7 Banda Aceh City located in Geuceu Complex, Banda Aceh City was built on 7,722 m2 of land. SMAN 7 Banda Aceh is led by Mrs. Erlawana, with 64 teachers and 739 students. SMAN 7 Kota Banda Aceh is also a driving school since 2011.
Both schools attracted the author's attention to conduct further studies involving principals / curriculum waka and subject teachers. The reason that concerns the author about these two schools is in terms of the quality of education provided and also the school programs offered. School quality indicators can be seen from the highest SNMPTN graduation. The SNMPTN graduation rate is 47 students in 2022 with a total of 506 high school / vocational students in Banda Aceh City.
Meanwhile, SMAN 7 Banda Aceh City is known as a superior school in the fields of art and research, especially when SMAN 7 Banda Aceh City has become a driving school in 2021. SMAN 7 Banda Aceh City
This chapter presents the results of research that has been carried out using interview methods and documentation. The interviews were conducted with the Principal, Waka Curriculum and also teachers in the field of study in 2 (two) High Schools in Banda Aceh City, as for the information obtained based on the results of triangulation to obtain the validity of the data. Then, the results of the study are described and continued with discussion. The information traced is related to the implementation of the Freedom of Learning policy in Banda Aceh City High Schools.
The implementation of the Free Learning policy at various levels of education in Indonesia is one of the things that is still being studied and is also still getting criticism from educators. This is not without reason, for some educators this is a new thing for them, especially this is carried out closely related to technology. The implementation of Merdeka Belajar is actually not new in the world of education, it's just that the Ministry of Education and Culture of the Republic of Indonesia has only implemented it since the Covid-19 Pandemic.
When viewed in terms of the preparation of this implementation, there are many stages that need to be passed and also these stages need to be applied also by educational institutions such as schools that implement Merdeka Belajar. The schools that have successfully implemented Merdeka Belajar are known as Driving Schools. If studied further, the process or stages that need to be passed by the school to become a Driving School is not only limited to administrative but also contributes to teachers and students in it.
Planning for the Implementation of the Free Learning Policy in Schools
In implementing a policy implementation, of course, the first thing to do is to design the implementation. The implementation of the Merdeka Belajar policy is one of the major changes in Indonesian education, especially for teachers in the teaching and learning process. Planning for the implementation of the Freedom of Learning policy is also handed over to each school so that it can be adjusted to the needs of each school and of course follow school resources.
In the process of planning the implications of the Freedom of Learning policy, of course, the school has prepared various efforts so that later teachers and students can carry out the Freedom of Learning process properly. SMAN 7 Banda Aceh and SMAN 3 Banda Aceh have a careful plan to implement this Merdeka Belajar. Some of the steps taken by the two schools are almost similar, such as the formation of a team for implementing the mobilizing school program which also involved several teachers and also participated in workshops related to Freedom of Learning organized by the Ministry of Education and Culture or the provincial education office. Both schools also received direct assistance by BPMP and also received online evaluations. SMAN 7 Banda Aceh City formed a special implementation team, namely a teaching committee of 10 people. The statement was represented by the curriculum waka of SMAN 7 Banda Aceh, as follows"
"There is a special committee team of 10 people involved for the Mobilizer School Program. The teachers received special training by the Principal on the Merdeka Belajar curriculum which could later be shared with other teachers. However, other workshops were also given to other teachers on a rotating basis according to the direction of the Principal. At SMAN 7, the Driving School program has been running for 2 years and for SMAN 7 it is at the stage of going to the independent level"
Meanwhile, SMAN 3 Banda Aceh involves all existing teachers to jointly engage in the Mobilizer School program. Teachers receive direct assistance from the Ministry of Education and Culture through BPMP every month online and BPMP also helps directly if needed by teachers of SMAN 3 Banda Aceh. This was conveyed directly by Waka Curriculum SMAN 3 Banda Aceh, as follows:
"All teachers are involved in this Driving School Program, but for the learning committee team there are 11 people and all of them get direct assistance by the Ministry of Education and Culture through BPMP regularly every month and also get direct monitoring and they will be ready to provide guidance to the field if needed"
The concept of Merdeka Belajar also encourages all parties to be able to build collaboration together with various suggestions and facilities, including digital. The digitization process is carried out in stages according to the introduction of digital media that can be used for the teaching and learning process such as Google Edu and also the Merdeka Belajar platform directly. On the other hand, teachers can also develop modules that have been presented in the Merdeka Belajar platform according to teacher needs.
Based on the author's observations, although not all schools can provide digital facilities such as computers and laptops that are qualified to be used by teachers and students simultaneously in one day. However,
the school has maximized the provision of wifi in schools that can be utilized by teachers and students such as at SMAN 7 Banda Aceh City, wifi facilities are obtained on every floor of the school building. SMAN 3 Banda Aceh City has also provided wifi access openly to be used for learning purposes and students can use their respective gadgets to explore their material even though wifi network points cannot be accessed evenly by students.
Meanwhile, the use of the Merdeka Belajar platform has been used well by teachers and is very helpful for teachers. One of the teachers at SMAN 7 said that all teachers at SMAN 7 Banda Aceh had registered on the Merdeka Belajar platform and teachers also used the platform well. Some of the functions of the platform used by teachers are to conduct exams, share real actions, and also become a forum for teachers to share good practices. One of the teachers has also created a community on the platform such as a literary community that can be accessed by all users of the Merdeka Belajar platform. In addition, SMAN 7 Banda Aceh also has a focus on student research programs where students at SMAN 7 Banda Aceh have a high interest in the field of research as one of the freedoms that are part of Merdeka Belajar. This was conveyed through interviews related to the development of digitalization in schools and how schools utilize the Merdeka Belajar platform by creating a program adapted to implement the independent curriculum, as follows:
"Teachers at SMAN 7 are the most crowded to access and be active in the Merdeka Belajar platform. This platform is a shared platform so we also provide our work on the platform so that other schools can also see the various activities we carry out. In addition, we also create communities on the platform such as literary and Indonesian communities, communities sharing practices in Banda Aceh City. Anyone can create programs on the platform".
On the other hand, SMAN 3 Banda Aceh teachers as many as 90% have accessed the Merdeka Belajar platform and have utilized it as much as possible. SMAN 3 Banda Aceh City has also created several programs adapted to implement Merdeka Belajar such as internal workshops related to Merdeka Belajar, Mandiri Berbagi such as expos related to what students have done.
The implementation of Merdeka Belajar has been implemented well and of course every school has a plan for the implementation of the new policy. It was found that some teachers needed more time to adapt to this policy, but all teachers worked well together and attended various workshops to increase their insight and expertise to continue to innovate in the development of the Merdeka Belajar module so as to create a pleasant learning atmosphere.
Implementation of Independent Learning in Senior High Schools in Banda Aceh City
The implementation of Merdeka Belajar has actually been carried out since 2020 with the aim of creating more enjoyable education for teachers and students. However, to achieve this pleasant implementation, several things also need to be considered, such as the role of the principal / waka curriculum / and also teachers in facilitating and also monitoring the implementation of the policy in schools. The role of the principal is the first step to realize this and is coupled with supportive teamwork in implementing the policy.
Merdeka Belajar is predicted to be able to equalize education in Indonesia in the future. This is because each school is able to realize learning in accordance with the readiness of each school and also the capacity of students in their respective schools. Merdeka Belajar is a concept in the world of education that gives freedom to schools to explore the modules that have been provided.
According to the results of interviews conducted on curriculum waka and teachers in 2 Senior High Schools in Banda Aceh City during the implementation of Merdeka Belajar in schools, the Principal/curriculum waka/and teachers took part in facilitating and monitoring the implementation of the implementation, this is in accordance with the results of interviews with the curriculum waka of SMAN 3 Banda Aceh, as follows:
"My role in the implementation of Merdeka Belajar is almost on all fronts such as planning programs, implementing, monitoring, and also evaluating. While the principal is very supportive in the sense that there are times when he is directly involved, especially in planning the program and there are times when he just monitors. The teachers also participated in planning the modules because it was to adjust the KSP that had been made".
The answer regarding the role of the principal/waka curriculum/teacher from SMAN 7 Banda Aceh also facilitates and monitors every activity of implementing the Merdeka Belajar policy, this was conveyed through an interview with one of the teachers as follows:
"As a teacher we facilitate of course. We also support various programs such as Pancasila student profiles as well as monitoring all student development as well as approved programs".
The role of the entire school community is indeed one of the keys to getting success in the implementation of this policy even including the students themselves. The existence of good teamwork will actually make it easier to adapt to this Merdeka curriculum. Openness to input – input is needed to improve the program to be run.
In implementing this Free Learning policy, there is no right and nothing wrong because everything follows and adjusts to the needs of each school. The programs that have been run will be reviewed later related to the process and also the progress achieved, and this is part of the monitoring carried out by both the principal and the waka curriculum.
In addition, there is a need for strategies used by schools to improve the implementation of the Freedom of Learning policy in schools. These strategies can be carried out individually by direct teachers or special strategies from the principal/waka curriculum. Some strategies run by teachers in the two schools have almost the same strategies such as giving freedom to students in the learning process following their respective skills but still following the themes given by the Ministry of Education and Culture, developing existing modules and tailored to students' interests and talents, and giving freedom to students to develop their ideas that will have a good impact on them. This was obtained from the results of interviews with teachers in 2 high schools, as follows:
Results of an interview with teachers of SMAN 7 Banda Aceh:
"They have freedom, we also teach how students can be independent, create things. They are given the freedom to choose their own field they want but still in accordance with the theme determined by the Ministry of Education, such as the example of class X entrepreneurship theme, children are free to develop ideas related to entrepreneurship.
Hasil wawancara guru SMAN 3 Banda Aceh:
"We in that class liberate students by how we free students to develop their skills. For example, in the classroom there are those who have drawing skills, so they can convey information through pictures. Some are IT proficient so that they are able to create animations that contain information related to the learning concerned".
Based on the results of the interview, it can be said that special strategies were also developed by each school in order to realize success in the implementation of the Merdeka Belajar policy. The Free Learning policy is able to balance between freedom of learning and also academic standards that have been set. These two high schools have the same strategy, namely by standardizing the selection of subjects, some schools have collaborated with counseling guidance (BK) because BK has its own assessment instrument and will be combined with grades and also analyzed based on children's abilities and school needs.
The way teachers analyze learning outcomes and effectiveness in compiling learning goals and flows to be better in a formative and summative way. Where formative assessment is an assessment of activities carried out while in class. While summative assessment is an assessment carried out through a joint examination.
In Merdeka Belajar, this assessment is carried out in these two categories, standardization in student development reports will be in the form of numbers and descriptions where teachers have the freedom to provide completeness scores which are certainly adjusted to the child's abilities. However, in this Merdeka Belajar policy, numbers are not too much of a specific benchmark because student achievements have been described in detail what needs to be improved and what major achievements they have achieved during the learning process.
The implementation of the Merdeka Belajar policy not only liberates students but also gives teachers a very wide freedom to develop teacher abilities and use special strategies to achieve the expected learning goals. The teachers also took strategies to perfect their learning modules by doing self-reflection both individually and with colleagues. This was stated by one of the teachers at SMAN 3 Banda Aceh in an interview, as follows:
"After learning, I always evaluate what I have taught today, at least after 1 meeting. However, for joint evaluations with other teachers, it is scheduled every 1 week with teachers who teach chemistry subjects together. As for reflection with all other teachers, it is held in meetings once a month".
Obstacles in Implementing the Free Learning Policy
The Merdeka Belajar Program is a transformative policy in the world of education, of course, there are various obstacles that must be felt by teachers in implementing this new policy. It is undeniable that Indonesia experiences frequent curriculum changes compared to other countries and this also makes teachers continue to learn new things. No wonder we see that this new policy has not been maximized as expected by the Ministry of Education and Culture, especially in regional schools.
Based on the author's observation when visiting several schools to collect data for this study, most schools have provided adequate internet access, although there are schools that only provide limited internet access to teachers. But there are also some schools that have internet barriers if they experience a spike in usage or also the influence of weather. This was conveyed by one of the teachers of SMAN 3 Banda Aceh when interviewed, as follows:
"For the internet at SMAN 3 Banda Aceh, this is quite adequate. However, if asked about obstacles to the internet network, there must be obstacles, such as uneven WiFi points, network interference, especially if the weather is rainy and also excessive usage, for example when teachers conduct online training."
Meanwhile, computer laboratories are also one of the obstacles in some schools because one school only has one to two computer laboratory rooms so that to be used simultaneously by two different classes is not possible. This was also conveyed by the teacher of SMAN 7 Banda Aceh, as follows:
"For obvious barriers exist, moreover computer labs are not for all students. Although SMAN 7 Banda Aceh has 2 computer lab rooms, it still cannot be used simultaneously for learning. But we will distribute usage sessions for each class on the same day."
However, the lack of computer room facilities can be overcome well by teachers. The implementation of exams using computers can also be carried out well in the two schools so there is no need to borrow computer facilities from other schools. Obstacles in terms of internet networks that are not always friendly are considered commonplace.
However, teachers' views on the lack of these facilities do not reduce the enthusiasm of teachers and students. Some teachers consider that there are no obstacles in the implementation process of Merdeka Belajar, instead they make it a learning how in the future they can improve and continue to balance the development of education. Some teachers change their perception of obstacles as a step for them to implement this policy well, of course, they learn to complete things that are considered still not optimal every day.
On the other hand, the attitudes, interests, and motivations of students in class are different. However, students' attitudes, interests, and motivations towards Merdeka Belajar are very high and they are more interested in Merdeka Belajar. If illustrated by numbers, only 2 out of 10 students have a less interested attitude to this new curriculum. This was represented by one teacher in an interview with the author, as follows:
"They are more excited about Merdeka Belajar than K-13. For example, in the past Indonesian only wrote texts, but in Merdeka Belajar they felt more appreciated with various things that they were free to express and also the results were better. In practice, introducing new things must be introduced slowly, but the teenager learns faster. It is precisely teachers who experience obstacles because they do not want to develop themselves for this new thing, teachers are still attached to the old thing".
The steps taken by teachers in implementing Merdeka Belajar were found by doing self-reflection after each teaching to make teaching considerations for the future better. The learning curriculum may continue to change, but teachers must also continue to learn new things. Various steps were taken by teachers to adapt to this new policy including assessment. Another thing that is carried out by teachers is to develop themselves through webinars – workshops related to Merdeka Belajar.
Some teachers also took steps to discuss adapting to this new policy both with superiors and colleagues, this was conveyed by the waka curriculum and also teachers of SMAN 7 Banda Aceh City, as follows:
"Teachers must be open in the context of insight and acceptance, not just stick to one concept. Teachers also need to learn all the time. Each teacher has a different adaptation process, inevitably, our school has entered the Mobilizer School. Encouragement from superiors also gives us the spirit to adapt and also discussions with colleagues".
Based on the results of research that has been conducted in two schools, namely SMAN 3 Banda Aceh and SMAN 7 Banda Aceh, the biggest obstacle in the implementation of Merdeka Belajar is the funds to run Merdeka Belajar, because in the future these two schools will become Independent Mover Schools, where funding will be issued directly by the school for all programs that have been run. This is conveyed directly through interviews, as follows:
"First, this program costs a lot, besides we get funding from the Ministry of Education, but later when we become an Independent Mover School, we no longer get financial support. While the programs we make are classified as large funds, especially research programs, once entering the research lab they need 200 thousand funds to buy the equipment / mixture they need. We also do not know whether in the future the local government will help or not, because so far it is only a form of appreciation when our school children managed to get awards in competency events representing the region".
The change from an ordinary school to a driving school provides benefits such as improving the quality of learning outcomes within three years. In addition, increasing the competence of school principals and teachers is also an advantage obtained and directly provided by the Ministry of Education and Culture. Another advantage is the acceleration of digitalization in schools, because the Driving School is based on the basis of digitalization.
Discussion
Planning for the Implementation of Independent Learning in Senior High Schools in Bnda Aceh City
In general, the implementation of the Merdeka Belajar policy aims to produce superior human resources who are ready to compete in the global world. On the other hand, the planning for the implementation of Merdeka Belajar is related to two important things in implementing this new education policy, namely Merdeka Belajar and mobilizing teachers. Merdeka Belajar means that teachers and students have the freedom to innovate in the teaching and learning process.
In addition, to realize what has been discussed by Minister of Education and Culture Nadiem Makarim regarding the implementation, of course, each school and teacher needs to make their own plans, because each school will adjust to their respective abilities and needs. Currently, not all schools are able to become driving schools in Aceh Province. In 2021, only a few schools have succeeded in becoming driving schools, including SMAN 3 Banda Aceh and SMAN 7 Banda Aceh.
In realizing the implementation of the new policy, schools have already made plans for what they will do to succeed the policy. Complex planning needs to be done by each school to drive successful implementation of policies in their schools. Some of these steps and planning have been carried out following the direction of the Ministry of Education and Culture and this has also been carried out by other schools in Indonesia as stated by (Ratsyari, 2021) related to school readiness in the implementation of Independent Learning in SMK, namely;
"Several implementations for Merdeka Belajar have been implemented such as the principal's policy on school examinations by implementing an examination form that can be developed by each teacher with flexible exam times in accordance with the form of school examination assessment. In addition, teachers also make questions in the learning module which include questions of understanding, comparison, reasoning, analysis, and evaluation. Next, the Guidance Counseling teacher provides time and opens a counseling period every Saturday for students to voice their talents and interests to make it easier for teachers to adjust school programs".
According to all aspects that need to be considered in implementing the Merdeka Belajar policy, teachers must also continue to learn all the important points in developing a plan for the implementation of Merdeka Belajar in their classrooms. Teachers and students continue to strive to work together to realize learning and teaching goals such as through direct discussions with students. The principal and also the waka curriculum also encourage teachers to continue to adapt to new things.
(Yamin & Syahrir, 2020) also stated that there are several aspects of Merdeka Belajar oriented to learning that prioritizes literacy while still carrying out the development and development of education including honesty, fairness, discipline, tolerance, creativity, responsibility, high curiosity, respect, care for the environment, love peace, care for social, and also the spirit of nationhood.
Based on the statement above, it can be said that the planning for the implementation of the Merdeka Belajar policy is not solely to develop the quality of schools but also remains with the aim of developing human resources so that they become superior human resources as the initial purpose of this policy. Thus, careful planning involving all aspects is carried out by driving schools not only in Aceh but throughout Indonesia by following their respective needs.
Implementation of the Free Learning Policy in Senior High Schools in Banda Aceh City
In its stages, the implementation of the Merdeka Belajar policy follows the Indonesian Education Map in which several important aspects need to be considered such as the direct involvement of school principals / curriculum waka / and also teachers in full. In addition, the implementation of policies related to various strategies used by teachers to improve implementation implementation, the process of balancing student freedom with academics, teacher strategies in analyzing student learning outcomes, and the reflection of the principal and his staff on the implementation process so far they have been running.
The implementation of the Merdeka Belajar policy cannot be separated from the monitoring of the principal and waka curriculum on what has been done by the teachers. Referring to the Indonesian Education Map section of Merdeka Belajar (2021), the principals / waka curriculum / and teachers work together to build an innovative learning environment. Meanwhile, the role of the principal himself in developing Merdeka Belajar is several of them:
1) Educating teachers regarding freedom of learning so that teachers do not lose their direction. The trick is to pay attention to teacher competence, provide direction, provide encouragement, and facilitate teacher needs. One way that principals can do this is by providing training to teachers.
2) Monitoring school activities by ensuring that school activities and all programs that have been fostered run properly. The principal also participates in the maintenance and professional development of teachers.
3) The principal also acts as a supervise in the implementation of the Merdeka Belajar policy. In this case, school principals need to ensure that teachers have begun to implement teaching styles in accordance with the Merdeka curriculum, such as applying differentiated learning methods, implementing digitalization during the learning process, and including Pancasila student profiles.
4) Creating a good working climate so that teachers provide superior performance. This can be done by structuring school activities clearly and informing all teachers. Tell the teacher about each teacher's work goals. Can listen to all input from teachers in the preparation of work programs and school programs.
The explanation above clearly explains that the planning for the implementation of Merdeka Belajar is not only for teachers who do it but there is the involvement of all parties in synergy. In addition, the implementation of the Merdeka Belajar policy requires all parties to work together and learn to continue to improve themselves, in other words, Merdeka Belajar is one of the first steps in implementing lifelong learning for both teachers and students.
Meanwhile, although Merdeka Belajar aims to be independent of students and provide freedom to students in determining their ways and interests, it is inseparable from complex learning assessments. This was stated by (Ratsyari, 2021), namely:
"The Minimum Competency Assessment (AKM) planning in 2021 is based on the principal's policy by assigning literacy summary tasks to students. In addition, teachers also make questions in the learning module which include questions of understanding, comparison, reasoning, analysis, and evaluation".
This is done to make students have more critical abilities, have emotional sensitivity, are talented and have high imagination. In addition, the assessment is still carried out in numbers and descriptions. However, assessment in Merdeka Belajar is still based on the ability of exams and students' daily lives.
Obstacles in the Implementation of the Free Learning Policy in Senior High Schools in Banda Aceh City
Every policy implementation will definitely have obstacles that will also become lessons so that in the future the policy will be more perfect, especially for a new policy. This is also part of the policy of implementing Merdeka Belajar in Senior High Schools. Moreover, this new policy is very different from previous policies, even some critics state that Indonesia is not ready to implement such a policy especially based on digitalization.
In reviewing the inhibiting factors of the implementation of the Merdeka Belajar policy, it is necessary to study from the aspects of internal factors and external factors. The internal factor is in terms of students' readiness to receive material and how to learn Merdeka Belajar. While external factors are from the condition of school and teacher readiness to implement this Merdeka Belajar. This was also expressed by Sugihartono (in Neva Lionita, 2020), among these internal factors are as follows: 1) student intelligence level, 2) student behavior, 3) student talent, 4) student interest, 5) student motivation, 6) student emotions, 7) student adjustment.
However, on the other hand, the biggest obstacles in the field related to school readiness and also the implementation of Merdeka Belajar are school facilities such as inadequate internet network availability, such as uneven internet points, lack of access caused by excess usage, and also due to weather disturbances. There are also barriers related to other facilities such as lack of projectors and access to computer labs. This is also stated by Neva Lionita (2020) related to the inhibiting factors in the implementation of Merdeka Belajar as follows:
"Although the learning equipment and facilities in supporting the implementation of Merdeka Belajar are good, there are still several other obstacles that still need to be fixed such as the lack of projectors in the classroom, some teaching aids, and also computer laboratories that cannot be accessed simultaneously".
A similar situation also occurs in SMAN 3 and SMAN 7 Banda Aceh, but they can respond by distributing time to every teacher and student who wants to use facilities such as projectors, teaching aids, and laboratories. It is undeniable that these facilities are learning supports, but also teachers must look for other creative ideas so that students continue to be enthusiastic about learning despite these obstacles.
Another obstacle in the implementation of Merdeka Belajar is the ability of teachers to adapt better than students. Teachers are still adapting to the culture shock of this policy change and are still adjusting even though many teachers are still carried away by the learning atmosphere of the previous curriculum. (Pujianti, Setiawan, & Hendriana, 2023) shared the culture shock of teachers towards the implementation of Merdeka Belajar into four phases, namely:
1. Honeymoon phase. This phase occurs before the implementation of Merdeka Belajar is carried out.
2. Crisis phase. This phase illustrates the difficulty of teachers in implementing Merdeka Belajar in the classroom.
3. Phase adjustment. This phase is the phase where teachers begin to find solutions to problems experienced before.
4. Integration phase. This phase is when teachers and schools are accustomed to implementing Merdeka Belajar. Principals / waka curriculum and teachers who are at SMAN 3 Banda Aceh and also SMAN 7 Banda Aceh at this time are still in the adjustment phase and some have been in the integration phase. Teachers are getting used to implementing Merdeka Belajar learning even though they are still looking for various solutions to every problem they face.
4. Conclusion
Based on the results of research encountered in the field and the discussion of this research, the implementation of the Freedom of Learning policy in Banda Aceh City High School is carried out well even though the stages of implementation are still being studied and developed by schools. So, from the research conducted, the following conclusions can be drawn:
The implementation of the Freedom to Learn policy has been carried out since 2021 where SMAN 3 and SMAN are the pioneers of Driving Schools in Aceh Province. Careful planning has been carried out in accordance with the direction of the Ministry of Education and Culture where teachers continue to try to adapt to the steps of participating in webinars and workshops as well as direct assistance by the Ministry of Education and Culture.
The implementation of the Merdeka Belajar policy at SMAN 3 and SMAN 7 can be said to be going well where these two schools have met the requirements to become driving schools such as digitalization, participation of principals, waka curriculum, and teachers in facilitating and monitoring the implementation of Merdeka Belajar, standardizing student progress reports, and also creating a learning environment according to student talents and interests.
Factors supporting the successful implementation of Merdeka Belajar at SMAN 3 and SMAN 7 include: 1) direct support and encouragement from the principal for teachers to continue learning and adapting to learn the Merdeka Belajar program. 2) There is direct guidance from the Ministry of Education and Culture even though it is online every week. 3) There is direct guidance and evaluation from BPMP every month who comes to school so that teachers are more focused. 4) Students prefer the Merdeka Belajar program compared to K-13 because they feel their abilities are more valued.
The obstacles experienced by SMAN 3 and SMAN 7 Banda Aceh City in implementing the Freedom of Learning policy are as follows: 1) The internet network available at SMAN 3 Banda Aceh has not spread at all points. Meanwhile, both schools experienced network bottlenecks when internet usage was crowded. 2) The use of computer laboratories in schools cannot be used simultaneously by students to carry out computer-based examinations. However, the shift division step was carried out by the two schools. 3) Merdeka Belajar is a program that requires large funds in the future when both schools have the status of Independent Mover Schools. 4) There has been no discussion from the Provincial/Regional Education Office regarding financial assistance for Independent Mover Schools in the future, which is one of the obstacles as well as learning for both schools.
5. References
Ingtias, Fatma Tresno, Ampera, Dina, Farihah, Farihah, Amal, Bakhrul Khoir, & Purba, Anwar Soleh. (2022). Implementation of Teaching Practitioners In Improving The Quality of Learning and Implementing The Curriculum Merdeka Belajar. Jurnal Studi Guru dan Pembelajaran, 5(2), 157–169.
Krishnapatria, Kriswanda. (2021). Merdeka Belajar-Kampus Merdeka (MBKM) curriculum in English studies program: Challenges and opportunities. ELT in Focus, 4(1), 12–19.
Kusumaryono, R. S. (2020). Merdeka Belajar. Kementerian Pendidikan Dan Kebudayaan, 1–21.
Pantiwati, Yuni, Chamisijatin, Lise, Zaenab, Siti, & Aldya, Riantina Fitra. (2023). Characteristics of Learning Assessment Towards Implementation of Merdeka Learning Curriculum. Jurnal Penelitian Dan Pengkajian Ilmu Pendidikan: E-Saintika, 7(1), 115–128.
Pratikno, Yuni, Hermawan, Eric, & Arifin, Antoni Ludfi. (2022). Human Resource 'Kurikulum Merdeka'from Design to Implementation in the School: What Worked and What not in Indonesian Education. Jurnal Iqra': Kajian Ilmu Pendidikan, 7(1), 326–343.
Pujianti, Agnes, Setiawan, Wahyu, & Hendriana, Heris. (2023). Analisis kemampuan komunikasi matematis siswa materi segiempat ditinjau dari self directing learning. JPMI (Jurnal Pembelajaran Matematika Inovatif),
6
(4).
Purwanti, Eko. (2021). Preparing the implementation of merdeka belajar–kampus merdeka policy in higher education institutions. 4th International Conference on Sustainable Innovation 2020–Social, Humanity, and Education (ICoSIHESS 2020), 384–391. Atlantis Press.
Ratsyari, Sabrina Dyah. (2021). Kesiapan Sekolah Pada Implementasi Merdeka Belajar. E-Jurnal Skripsi Program Studi Teknologi Pendidikan, 10(1).
Restu, R., Sriadhi, S., Gultom, Syamsul, & Ampera, Dina. (2022). Implementation Of The Merdeka BelajarKampus Merdeka Curriculum Based On The RI 4.0 Platform At Universitas Negeri Medan. Journal of Positive School Psychology, 10161–10176.
Rizki, Reffy Ananda, & Fahkrunisa, Lulu. (2022). Evaluation of Implementation of Independent Curriculum (Kurikulum Merdeka). Journal of Curriculum and Pedagogic Studies (JCPS), 1(1), 32–41.
Satiti, Abidah Dwi Rahmi, & Falikhatun, Falikhatun. (2022). Accounting Curriculum Evaluation in Implementation Merdeka Belajar-Kampus Merdeka. Assets: Jurnal Akuntansi Dan Pendidikan, 11(1), 21– 35.
Subandrio, Wahyu, & Kartiko, Dwi Cahyo. (2021). Jurnal Pendidikan Olahraga dan Kesehatan Volume 09 Nomor 02 Tahun 2021.
Supriati, Ruli, Dewi, Elisa Royani, Supriyanti, Dedeh, & Azizah, Nur. (2022). Implementation Framework for Merdeka Belajar Kampus Merdeka (MBKM) in Higher Education Academic Activities. IAIC Transactions on Sustainable Digital Innovation (ITSDI), 3(2), 150–161.
Yamin, Muhammad, & Syahrir, Syahrir. (2020). Pembangunan pendidikan merdeka belajar (telaah metode pembelajaran). Jurnal ilmiah mandala education, 6(1).
Yulianto, Harry. (2022). Implementation of Learning Assessment Model on The Curriculum of Merdeka Belajar. Technical and Vocational Education International Journal (TAVEIJ), 2(2), 22–34.
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srobinson on DSK4SPTVN1PROD with NOTICES
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Meeting Notice for the President's Advisory Council on Faith-Based and Neighborhood Partnerships
In accordance with section 10(a)(2) of the Federal Advisory Committee Act (Pub. L. 92–463), the President's Advisory Council on Faith-Based and Neighborhood Partnerships announces the following three conference calls:
Name: President's Advisory Council on Faith-based and Neighborhood Partnerships Council Conference Calls.
Time and Date: Monday, April 2nd, 2013 4:00 p.m.-5:30 p.m. (EDT).
Place: All meetings announced herein will be held by conference call. The call-in line is: 1–866–823–5144, Passcode: 1375705. Space is limited so please RSVP to [email protected] to participate.
Status: Open to the public, limited only by lines available.
Purpose: The Council brings together leaders and experts in fields related to the work of faith-based and neighborhood organizations in order to: Identify best practices and successful modes of delivering social services; evaluate the need for improvements in the implementation and coordination of public policies relating to faith-based and other neighborhood organizations; and make recommendations for changes in policies, programs, and practices.
Contact Person for Additional Information: Please contact Ben O'Dell for any additional information about the President's Advisory Council meeting at [email protected].
Agenda: Please visit http:// www.whitehouse.gov/partnerships for further updates on the Agenda for the meeting.
Public Comment: There will be an opportunity for public comment at the conclusion of the meeting. Comments and questions can be asked over the conference call line, or sent in advance to [email protected].
Dated: March 14, 2013.
Ben O'Dell,
Associate Director for Center for Faith-based and Neighborhood Partnerships at U.S.
Department of Health and Human Services. [FR Doc. 2013–06405 Filed 3–19–13; 8:45 am] BILLING CODE 4154–07–P
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Meetings of the National Biodefense Science Board
AGENCY: Office of the Secretary, Department of Health and Human Services.
ACTION
: Notice.
SUMMARY: As stipulated by the Federal Advisory Committee Act, the U.S. Department of Health and Human
Services is hereby giving notice that the National Biodefense Science Board (NBSB) will be holding public meetings on April 2 and April 3, 2013.
DATES: The April 2, 2013, NBSB public meeting is tentatively scheduled from 9:00 a.m. to 5:00 p.m. The April 3, 2013, public meeting will be held jointly with the Centers for Disease Control and Prevention Board of Scientific Counselors (BSC), Office of Public Health Preparedness and Response (OPHPR), is tentatively scheduled from 8:30 a.m. to 3:30 p.m. The agendas for both April 2 and 3, 2013, meetings are subject to change as priorities dictate, and it is possible that they may be held by teleconference rather than in person. Please check the NBSB Web site at WWW.PHE.GOV/NBSB for the most upto-date information.
ADDRESSES: April 2, 2013: Centers for Disease Control and Prevention (CDC), 1600 Clifton Road NE., Roybal Campus, Atlanta, Georgia 30329, Building 19, Room 117.
April 3, 2013: CDC, 1600 Clifton Road NE., Roybal Campus, Atlanta, Georgia 30329, Building 19, Room 256.
To attend by teleconference, please refer to the NBSB Web site for further instructions at www.phe.gov/nbsb. Please call in 15 minutes prior to the beginning of the meeting to facilitate attendance.
Additional Information for Public Participants: These meetings are open to the public and are limited only by the space available. Meeting rooms will accommodate up to 30 people. Preregistration is required for in-person attendance. Individuals who wish to attend the meeting in-person should send an email to [email protected] with ''NBSB Registration'' in the subject line by no later than Monday, March 25, 2013.
FOR FURTHER INFORMATION CONTACT: The
National Biodefense Science Board mailbox:
[email protected].
SUPPLEMENTARY INFORMATION: Pursuant to section 319M of the Public Health Service Act (42 U.S.C. 247d-7f) and section 222 of the Public Health Service Act (42 U.S.C. 217a), the Department of Health and Human Services established the National Biodefense Science Board.
The Board shall provide expert advice and guidance to the Secretary on scientific, technical, and other matters of special interest to the Department of Health and Human Services (HHS) regarding current and future chemical, biological, nuclear, and radiological agents, whether naturally occurring, accidental, or deliberate. The Board may also provide advice and guidance to the Secretary and/or the Assistant Secretary
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for Preparedness and Response (ASPR) on other matters related to public health emergency preparedness and response.
Background: The April 2, 2013, public meeting will be dedicated to a discussion and vote of the report and recommendations from the NBSB's Public Health and Healthcare Situational Awareness Strategy and Implementation Plan Working Group. Subsequent agenda topics will be added as priorities dictate. The April 3, 2013, meeting will include a joint Federal Advisory Committee briefing, deliberation and vote on the recommendations and report written by the joint BSC OPHPR–NBSB Strategic National Stockpile ad hoc working group. Any additional agenda topics will be available on the NBSB's April 2013 meeting Web page prior to the public meeting, available at WWW.PHE.GOV/NBSB.
Availability of Materials: The meeting agenda and materials will be posted on the NBSB Web site at WWW.PHE.GOV/ NBSB prior to the meeting.
Procedures for Providing Public Input: Any member of the public providing oral comments at the meeting must signin at the registration desk and provide his/her name, address, and affiliation. All written comments must be received prior to March 29, 2013, and should be sent by email to [email protected] with ''NBSB Public Comment'' as the subject line. Individuals who plan to attend and need special assistance, such as sign language interpretation or other reasonable accommodations, should email [email protected].
Dated: March 14, 2013.
Nicole Lurie,
Assistant Secretary for Preparedness and Response.
[FR Doc. 2013–06308 Filed 3–19–13; 8:45 am]
BILLING CODE 4150–37–P
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Agency for Healthcare Research and Quality
Agency Information Collection Activities; Proposed Collection; Comment Request
AGENCY:
Agency for Healthcare Research and Quality, HHS.
ACTION:
Notice.
SUMMARY: This notice announces the intention of the Agency for Healthcare Research and Quality (AHRQ) to request that the Office of Management and Budget (OMB) approve the proposed changes to the currently approved
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information collection project: ''Medical Expenditure Panel Survey—Insurance Component.'' In accordance with the Paperwork Reduction Act, 44 U.S.C. 3501–3521, AHRQ invites the public to comment on this proposed information collection.
This proposed information collection was previously published in the Federal Register on December 26th, 2012 and allowed 60 days for public comment. Two comments were received. The purpose of this notice is to allow an additional 30 days for public comment.
DATES: Comments on this notice must be received by April 19, 2013.
ADDRESSES: Written comments should be submitted to: AHRQ's OMB Desk Officer by fax at (202) 395–6974 (attention: AHRQ's desk officer) or by email at
OIRA
_
[email protected]
(attention: AHRQ's desk officer.)
Copies of the proposed collection plans, data collection instruments, and specific details on the estimated burden can be obtained from the AHRQ Reports Clearance Officer.
FOR FURTHER INFORMATION CONTACT:
Doris Lefkowitz, AHRQ Reports Clearance Officer, (301) 427–1477, or by email at [email protected].
SUPPLEMENTARY INFORMATION:
Proposed Project
Medical Expenditure Panel Survey— Insurance Component
Employer-sponsored health insurance is the source of coverage for 85 million current and former workers, plus many of their family members, and is a cornerstone of the U.S. health care system. The Medical Expenditure Panel Survey—Insurance Component (MEPS– IC) measures the extent, cost, and coverage of employer-sponsored health insurance on an annual basis. Private industry statistics are produced at the National, State, and sub-State (metropolitan area) level and State and local government statistics at the National and Census Region level.
The MEPS–IC was last approved by OMB on December 12th, 2012 and will expire on December 31st, 2014. The OMB control number for the MEPS–IC is 0935–0110. All of the supporting documents for the current MEPS–IC can be downloaded from OMB's Web site at http://www.reginfo.gov/public/do/ PRAViewDocument?ref_nbr=2011100935-001.
The current MEPS–IC clearance noted the possibility of making changes to the 2013 MEPS–IC survey in order to address data needs for the Patient Protection and Affordable Care Act
(PPACA) and other issues. AHRQ solicited input on possible new questions from a working group of over 50 individuals that included multiple representatives from the U.S. Department of Health and Human Services' Assistant Secretary for Planning and Evaluation (ASPE), the Center for Medicare & Medicaid Services' (CMS) Center for Consumer Information and Insurance Oversight, the CMS Office of the Actuary, the National Center for Health Statistics, the President's Council of Economic Advisors, the Office of Management and Budget, the Bureau of Labor Statistics, the Employee Benefits Security Administration, and the Bureau of the Census.
After the working group agreed on a reasonable number of specific questions, the Bureau of the Census, at AHRQ's direction, conducted a pretest of these questions on a sampled set of 2012 MEPS–IC survey respondents. A telephone pretest was conducted in the spring and summer of 2012. The results of this pretest, conducted under the Census Bureau's generic pretest clearance process, led to AHRQ recommending that a subset of the tested questions be added to the survey in 2013. To avoid increasing the overall burden on survey respondents, a proportional number of questions have been proposed for deletion. Questions identified for deletion were those with limited analytic value and/or belowaverage response rates. The AHRQ recommendations were accepted by the HHS Data Council in November 2012.
For all establishment-level MEPS–IC forms, AHRQ proposes to make the following changes to questions asked of employers who offer health insurance:
Additions
* Did your organization offer health insurance to unmarried domestic partners of the same sex? Yes/No/ Don't Know
* Did your organization offer health insurance to unmarried domestic partners of the opposite sex? Yes/No/ Don't Know
Deletions
* For 2013, what was the TYPICAL waiting period before new employees could be covered by health insurance? Less than 2 weeks/2 weeks to less than 1 month/Until the first day of the next month/1–3 months/More than 3 months
* Did your organization place any limits or restrictions on health insurance coverage for the spouse of an employee if the spouse had access to
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coverage through another employer? Yes/No/Don't Know
For all plan-level MEPS–IC forms, AHRQ proposes to make the following changes:
Additions
* (For self-insured health plans that purchase stop-loss coverage) What is the specific stop-loss coverage amount per employee? $ll.00
* Did the premiums for this insurance plan vary by any of these characteristics? Smoker/nonsmoker will be added to current list of Age, Gender, Wage or Salary levels, and Other. The ''Premiums did not vary'' response checkbox will be deleted and replaced with Yes/No/Don't Know responses for each characteristic.
* Did the amount an employee contributed toward his/her own coverage vary by any of these employee characteristics? Participation in a fitness/weight loss program and participation in a smoking cessation program will be added to the current list of Hours worked, Union status, Wage or salary level, Occupation, Length of employment, and Other. The ''Employee contribution did not vary'' response checkbox will be deleted and replaced with Yes/No/Don't Know responses for each characteristic.
* Which of the services listed were covered by the plan? Routine vision care for children, Routine dental care for children, Mental health care, and Substance abuse treatment will be added Routine vision care for adults and Routine dental care for adults will replace Routine vision care and Routine dental care respectively Chiropractic care remains unchanged
* Is this a Grandfathered health plan as defined by the Affordable Care Act? Yes/No/Don't know
Deletions
* How many different pricing categories or tiers of prescription drug coverage were there for this plan? Number of tiers ll or Don't know
* What was the MAXIMUM amount this plan would have paid for an enrollee in ONE YEAR? $ll or No annual maximum
* An employer can offer a Health Reimbursement Arrangement (HRA) by setting up an account to reimburse employees for medical expenses not covered by health insurance. Did your organization offer an HRA associated with this plan in 2013? HRAs are NOT Flexible Spending Accounts
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(FSAs) or Health Savings Accounts (HSAs). Yes/No/Don't Know
The MEPS Definitions form—MEPS– 20(D)—will also be updated with new definitions for terms used in these new questions (and the deletion of terms used only in the deleted questions).
There are no changes to the 2013 MEPS–IC survey estimates of cost and hour burdens due to these proposed question changes. The response rate for the MEPS–IC survey also is not expected to change due to these proposed changes.
The MEPS–IC is conducted pursuant to AHRQ's statutory authority to conduct surveys to collect data on the cost, use and quality of health care, including the types and costs of private health insurance. 42 U.S.C. 299b–2(a).
Method of Collection
There are no changes to the current data collection methods.
Estimated Annual Respondent Burden
There are no changes to the current burden estimates.
Estimated Annual Costs to the Federal Government
There are no changes to the current cost estimates.
Request for Comments
In accordance with the Paperwork Reduction Act, comments on AHRQ's information collection are requested with regard to any of the following: (a) Whether the proposed collection of information is necessary for the proper performance of AHRQ healthcare research and healthcare information dissemination functions, including whether the information will have practical utility; (b) the accuracy of AHRQ's estimate of burden (including hours and costs) of the proposed collection(s) of information; (c) ways to enhance the quality, utility, and clarity of the information to be collected; and (d) ways to minimize the burden of the collection of information upon the respondents, including the use of automated collection techniques or other forms of information technology.
Comments submitted in response to this notice will be summarized and included in the Agency's subsequent request for OMB approval of the proposed information collection. All comments will become a matter of public record.
Dated: March 4, 2013.
Carolyn M. Clancy,
Director.
[FR Doc. 2013–06217 Filed 3–19–13; 8:45 am]
BILLING CODE 4160–90–M
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DEPARTMENT OF HEALTH AND HUMAN SERVICES
Agency for Healthcare Research and Quality
Patient Safety Organizations: Voluntary Relinquishment From QAISys, Inc.
AGENCY: Agency for Healthcare Research and Quality (AHRQ), HHS.
ACTION:
Notice of delisting.
SUMMARY: The Patient Safety and Quality Improvement Act of 2005 (Patient Safety Act), Public Law 109–41, 42 U.S.C. 299b–21— b–26, provides for the formation of Patient Safety Organizations (PSOs), which collect, aggregate, and analyze confidential information regarding the quality and safety of health care delivery. The Patient Safety and Quality Improvement Final Rule (Patient Safety Rule), 42 CFR part 3, authorizes AHRQ, on behalf of the Secretary of HHS, to list as a PSO an entity that attests that it meets the statutory and regulatory requirements for listing. A PSO can be ''delisted'' by the Secretary if it is found no longer to meet the requirements of the Patient Safety Act and Patient Safety Rule, or when a PSO chooses to voluntarily relinquish its status as a PSO for any reason. AHRQ has accepted a notification of voluntary relinquishment from QAISys, Inc. of its status as a PSO, and has delisted the PSO accordingly.
DATES: The directories for both listed and delisted PSOs are ongoing and reviewed weekly by AHRQ. The delisting was effective at 12:00 Midnight ET (2400) on January 31, 2013.
ADDRESSES: Both directories can be accessed electronically at the following HHS Web site: http:// www.pso.AHRQ.gov/index.html.
FOR FURTHER INFORMATION CONTACT:
Eileen Hogan, Center for Quality Improvement and Patient Safety, AHRQ, 540 Gaither Road, Rockville, MD 20850; Telephone (toll free): (866) 403–3697; Telephone (local): (301) 427–1111; TTY (toll free): (866) 438–7231; TTY (local): (301) 427–1130; Email: [email protected].
SUPPLEMENTARY INFORMATION:
Background
The Patient Safety Act authorizes the listing of PSOs, which are entities or component organizations whose mission and primary activity is to conduct activities to improve patient safety and the quality of health care delivery.
HHS issued the Patient Safety Rule to implement the Patient Safety Act.
AHRQ administers the provisions of the Patient Safety Act and Patient Safety Rule (PDF file, 450 KB. PDF Help) relating to the listing and operation of PSOs. The Patient Safety Rule authorizes AHRQ to list as a PSO an entity that attests that it meets the statutory and regulatory requirements for listing. A PSO can be ''delisted'' if it is found no longer to meet the requirements of the Patient Safety Act and Patient Safety Rule, or when a PSO chooses to voluntarily relinquish its status as a PSO for any reason. Section 3.108(d) of the Patient Safety Rule requires AHRQ to provide public notice when it removes an organization from the list of federally approved PSOs.
AHRQ has accepted a notification from QAISys, Inc., PSO number P0046, to voluntarily relinquish its status as a PSO. Accordingly, QAISys, Inc. was delisted effective at 12:00 Midnight ET (2400) on January 31, 2013.
More information on PSOs can be obtained through AHRQ's PSO Web site at http://www.pso.AHRQ.gov/ index.html.
Dated: March 4, 2013.
Carolyn M. Clancy,
Director.
[FR Doc. 2013–06215 Filed 3–19–13; 8:45 am]
BILLING CODE 4160–90–M
DEPARTMENT OF HEALTH AND HUMAN SERVICES
Agency for Healthcare Research and Quality
Patient Safety Organizations: Voluntary Relinquishment From Universal Safety Solution PSO
AGENCY: Agency for Healthcare Research and Quality (AHRQ), HHS. ACTION: Notice of delisting.
SUMMARY: The Patient Safety and Quality Improvement Act of 2005 (Patient Safety Act), Public Law 109–41, 42 U.S.C. 299b–21—b–26, provides for the formation of Patient Safety Organizations (PSOs), which collect, aggregate, and analyze confidential information regarding the quality and safety of health care delivery. The Patient Safety and Quality Improvement Final Rule (Patient Safety Rule), 42 CFR part 3, authorizes AHRQ, on behalf of the Secretary of HHS, to list as a PSO an entity that attests that it meets the statutory and regulatory requirements for listing. A PSO can be ''delisted'' by the Secretary if it is found no longer to meet the requirements of the Patient Safety Act and Patient Safety Rule, or when a PSO chooses to voluntarily
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ScaleUp Supplemental Instructions
Centre of Expertise in Agile and Innovative Procurement
September 2023
Table of Contents
Note: If there is a discrepancy between the wording of this document and the 2003- Standard Instructions - Goods or Services - Competitive Requirements, the wording of this document has priority.
Any reference to "Solicitation Closing" in the 2003 must be interpreted as "ScaleUp Bid Form Closing".
1. Definitions
In the context of ScaleUp, the following definitions apply:
Demonstration: Interactive session to demonstrate a bidder's capacity to resolve the problem.
Sc
Demonstration period: Period during the solicitation where all the bidders are invited to an interactive session to demonstrate their capacity to resolve the problem.
Canadian business: Business that is based in Canada.
Micro business: A business having 1 to 4 employees.
Small business: A business having 5 to 99 employees.
Indigenous business: A sole proprietorship, limited company, cooperative, partnership or notfor-profit organization in which Indigenous persons have majority ownership and control meaning at least 51%.
In the case of a business enterprise with 6 or more full-time employees, at least 33% of the fulltime employees are Indigenous.
A Joint-venture agreement in which an Indigenous business or Indigenous businesses as defined above must have at least 51% ownership and control. All joint ventures also require that Indigenous content is at least 33% of the total value of the work to be performed.
Women: Persons whose gender identity and expression is female.
Visible minorities: Persons, other than Indigenous people, who are non-Caucasian in race or non-white in colour.
Persons with disabilities: Disability means any impairment, including a physical, mental, intellectual, cognitive, learning, communication or sensory impairment-or a functional limitationwhether permanent, temporary or episodic in nature, or evident or not, that, in interaction with a barrier, hinders a person's full and equal participation in society. In addition, a barrier means anything — including anything physical, architectural, technological or attitudinal, that is based on information or communications or anything that is the result of a policy or a practice — that hinders the full and equal participation in society of persons with an impairment, including a physical, mental, intellectual, cognitive, learning, communication or sensory impairment or a functional limitation.
Businesses Owned/Led by Underrepresented Groups (URG): Businesses owned, operated, or controlled by at least 51% by women, visible minorities, or persons with disabilities.
2. Demonstration
In the Demonstration Phase, bidders will present a demonstration highlighting their capacity or experience. This demonstration can be in the form of a scenario, presentation, or other suitable formats. All demonstrations will be assessed against predefined evaluation criteria. These demonstrations are an integral component of the technical bid. The assessment and evaluation derived from the demonstration will be recognized as the technical evaluation for the purposes of this solicitation.
3. Closing Dates
Phase 1: ScaleUp Bid Form Closing Date
The closing date and time as indicated on CanadaBuys serves as the definitive cut-off time for submitting the ScaleUp Bid Form (SBF), which includes the Financial Bid. Although the solicitation remains open, new bids and changes to the submitted SBF will not be accepted after the SBF Closing Date.
Phase 2: Solicitation Closing Date
The conclusion of the solicitation will coincide with the end of the Demonstration Period. Changes to the technical bid will not be accepted after the demonstration has been delivered.
4. Bid Transmission
In addition to the Transmission listed in the 2003-08 Transmission by facsimile or by Canada Post Corporation's (CPC) Connect service, the following transmission can also be used to submit the ScaleUp Bid Form and other documents.
(a) Email Submission
i) Email Submission of Bid: All bidders must attempt to submit their ScaleUp Bid Form (SBF) and other documents by email in accordance with this Article by SBF closing date to the email address identified on the ScaleUp Solicitation.
ii) Format of Email Attachments: Bidders should submit the SBF and other documents in PDF. Bidders that submit bid documents in other formats do so at their own risk, as Canada may be unable to read them. Other documents can be submitted in other formats that can be opened with either Microsoft Word or Microsoft Excel
iii) Email Size: Bidders should ensure that they submit their bid in multiple emails if any single email, including attachments, will exceed 15 MB. Except as expressly provided below, only emails that are received at the Email Address for Bid Submission by SBF Closing will be considered part of the bid.
iv) Email Title: Bidders are requested to include the Solicitation No. identified on the cover page of this document in the "subject" line of each email forming part of the bid.
v) Time of Receipt: All emails received at the Email Address for Bid Submission showing a "received" time before the SBF Closing Date will be considered timely. In the case of a dispute regarding the time at which an email arrived at SSC, the time at which the bid is received by SSC will be determined:
(A) by the delivery time stamp received by the bidder if the bidder has turned on Delivery Status Notification for the sent email in accordance with RFC 1891 established by the Internet Engineering Steering Group (SMTP Service Extension for Delivery Status Notification); or
(B) in accordance with the date and time stamp on the SMTP headers showing the time of first arrival on a server used to provide the Government of Canada with email services, if the bidder has not turned on Delivery Status Notification for the sent email.
vi) Availability of Contracting Authority: During the 4 hours leading up to SBF Closing, an SSC representative will monitor the Email Address for Bid Submission and will be available by telephone at the Contracting Authority's telephone number shown on the cover page of this document (although the SSC representative may not be the Contracting Authority). If the bidder is experiencing difficulties transmitting the email to the Email Address for Bid Submission, the bidder should contact SSC immediately at the Contracting Authority's coordinates provided on the cover page of this document.
vii) Email Acknowledgement of Receipt by SSC: On the day of SBF Closing, an SSC representative will send an email acknowledging receipt of each bid (and each email forming part of that bid, if multiple emails are received) that was received by SBF Closing at SSC's Email Address for Bid Submission.
viii) Delayed Email Bids: SSC will accept an email bid received in the first 24 hours after SBF Closing only if the bidder can demonstrate that any delay in delivering the email to the SSC Email Address for Bid Submission is due to Canada's systems. Bids received by email more than 24 hours after SBF Closing will not be accepted under any circumstances. As a result, bidders who have tried to submit a bid, but have not received an email acknowledging receipt from SSC shortly thereafter should contact the Contracting Authority so that they can determine whether or not the bid arrived at the SSC Email Address for Bid Submission on time.
ix) Responsibility for Technical Problems: By submitting a bid, the bidder is confirming it agrees that Canada is not responsible for:
(A) any technical problems experienced by the bidder in submitting its bid, including emails that fail to arrive because they exceed the maximum email size of 15 MB or that are rejected or quarantined because they contain malware or other code that is screened out by SSC for security reasons; or
(B) any technical problems that prevent SSC from opening the attachments to the email(s). For example, if an attachment is corrupted or otherwise cannot be opened or cannot be read, it will be evaluated without that portion of the bid. Bidders will not be permitted to submit substitute attachments to replace any that are corrupt or empty or submitted in an unapproved format.
(b) Electronic Submission of Bids through P2P for Shared Services Canada (SSC)
i) Submission through P2P is Mandatory: when the solicitation is released via P2P, all bidders must attempt to submit their bids through the P2P portal.
ii) Submissions not permitted after SBF Closing: After SBF Closing, the P2P system will not permit a bidder to submit a bid.
iii) Format of Bid Documents: Bidders should submit the SBF and other documents in PDF. Bidders that submit bid documents in other formats do so at their own risk, as Canada may be unable to read them. Other documents can be submit in other formats that can be opened with either Microsoft Word or Microsoft Excel
iv) File Size: P2P accommodates individual documents of up to 30MB each. Bidders should ensure that they submit their bid in multiple documents, each of which does not exceed 30MB. Bidders may submit as many documents as necessary.
v) P2P Availability: If the P2P portal is unavailable for any reason during any part of the 4 hours immediately before SBF Closing, bidders are requested to contact the Contracting Authority immediately, both by email and by telephone. If the Contracting Authority confirms that the P2P portal is unavailable for any reason during any part of the 4 hours immediately before SBF Closing, the Contracting Authority will extend SBF Closing by 24 hours. The Contracting Authority will send notice of any such extension only to those bidders who have sent an email notification to the Contracting Authority indicating their intention to submit a bid. The Contracting Authority will also issue an amendment in P2P. The Contracting Authority is not required to extend SBF Closing if the reason a bidder is unable to access the P2P portal is related to that bidder or its systems, rather than an SSC system problem.
vi) Availability of Contracting Authority: During the 4 hours leading up to SBF Closing, an SSC representative will monitor the Email Address for Bid Submission and will be available by telephone at the Contracting Authority's telephone number shown on the cover page of this document (although the SSC representative may not be the Contracting Authority). If the bidder is experiencing difficulties transmitting the email to the Email Address for Bid Submission, the bidder should contact SSC immediately at the Contracting Authority's coordinates provided on the cover page of this document.
vii) Responsibility for Technical Problems: By submitting a bid, the bidder is confirming it agrees that Canada is not responsible for:
(A) any technical problems experienced by the bidder in submitting its bid, including attachments rejected or quarantined because they contain malware or other code that is screened out by SSC for security reasons; or
(B) any technical problems that prevent SSC from opening the attachments. For example, if an attachment is corrupted or otherwise cannot be opened or cannot be read, it will be evaluated without that portion of the bid. Bidders will not be permitted to submit substitute attachments to replace any that are corrupt or empty or submitted in an unapproved format.
5. SCSI Assessment Process (only applicable to Shared Services Canada)
If applicable, Canada will assess the Supply Chain Security Information (SCSI) submitted by the top-ranked bidder in accordance with Attachment: SCSI Assessment Process and Diagram. Canada must approve the SCSI in order for the bid to be declared compliant.
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Working in Italy
Gianluca Dentici takes us on a trip to Italy to discover what the visual effects community is like in Rome and beyond.
By Gianluca Dentici
[ Posted on September 21, 2004 ]
About 15 years ago, special effects was synonymous in Italy with a very specialized American professional art form, but since that time, thanks to the visual-art evolution, minds have been open to new technologies and new ways of thinking in my country. One of the last countries to make the entrance into visual effects has been Italy, earth rich in history and culture and home to many artists. Taking its creative cues from the rest of the visual effects communities and looking to make its own creative and culturally elevated contributions, Italy refused to be shut out any longer. All of this clamour allowed the birth of new postproduction facilities, and consequently the evolution of new visual effects professions even in Italy.
Once upon a time, it was very difficult to conceive of the birth of a company gaining financing only through the creation of visual effects for movies. In fact, my role as visual effects supervisor was misunderstood by both the old Italian production system and the specialized schools (excluding some software courses focused on teaching particular products instead of sharpening visual perception).
Surely the kind of movies produced from this country doesn't permit surreal or futuristic images to be created in such an artificial way, because of the main nature of the Italian movie industry, which is focused on the auteur, and not on pure entertainment. This is one of the main reasons for this artistic lag. Fortunately, in the last few years we have assisted in a more perceptible approach to digital technology for moving images, and have been utilizing visual effects to serve the story directors want to tell. The slow understanding of this complex but, at the same time, fascinating art form has allowed for the rise today in specialized schools that teach broader forms of visual communications beyond the technical, which in turn has spawned a generation of professionals that work in this new industry for several prominent companies.
Actually there are nearly 15 Italian companies that work on visual effects in one capacity or another for national distribution according to strategic reasons: those who work for commercials and advertising are usually located in Milan, which is an industrial town, instead those working on movies that are in Rome because of the closeness to studios such as Cinecittà, Roma Studios.
I work for Videa, which has been one of the leading companies in our country for 12 years, offering its services and creative skills for movies, TV and advertising.
Personally I owe my knowledge to my attendant at the European Academy of Special Effects, directed by three-time Academy award-winner Carlo Rambaldi (E.T., King Kong and Alien). There, I had the opportunity to enhance not only my duties on painting techniques, sculpting, special make up, miniatures and, obviously, computer graphics, but also on cinematography and other mediums of expression. This great didactic experience and periodic visits to American postproduction offices were so fundamental because they gave me a wide know-how of this area from a technical and artistic point of view, and a precious knowledge of technical matters, which is that thing that allows you to put in practice your artistic stimulus, pushing you further to experiment with other ideas in search of technical and creative solutions.
Every single operator is like a mosaic's dot. A good example would be the immense work done for The Lord of the Rings trilogy, where the first goal was to keep the same stylistic feel during the storytelling, and they did it artistically and technically.
Learning from what Weta and other companies have done, Italian people started to understand the team's interactive importance and how an internal organization should operate, at the same time recognizing the artistic contributions of each individual.
This new observation allows new companies to rise along these lines, structuring their own working pipelines in a much better way.
From an internal perspective we are split into two operating offices at Videa, which is also divided into two main departments: Digital effects and a special shooting group. The digital effects group is comprised of around18 creative talents subdivided between 3D and compositing divisions. Many of them came from traditional art and skills such as scenography, comics, cartoons and design, while the shooting group is composed of several operators with particular skill at handling bluescreen stage work.
While each department has its own structure and internal philosophy, we have some points in common that are musts for everyone. For us at Videa, one of them is previs, because it allows us to begin adequate planning of the work and to setup the pipeline according to the needs of the production.
But working in Italy means facing several problems when approaching the visual effects for a movie. At the office we use a particular formula to study movie projects, which is not properly the "Italian way." That's why sometimes it can create little misunderstandings with new clients, especially when they are not accustomed to working with a good planning system. In fact, while we love to face the work using storyboard, animatics, layouts and asking ourselves technical questions in advance, some directors see this as an obstacle to their creative vision and an incredible waste of time; for that reason, it is not always easy to let them understand how important this study is.
However, in my experience once directors try their hand at previs they come to rely on it because of the obvious advantages and cost factors. These experiences have been very educational. We have nearly three people on staff plus outside collaborators dedicated to previs and storyboarding for our visual effects purposes. They use pencils and some dedicated software packages to create animatics to show to directors. We use Poser to create little storyboards or animatics, especially when the scene involves human elements. We use the "sketch renderer" to give it a more appealing feel.
From a producing point of view, our effort is to be constantly sensible when making a visual effects study of production costs, because it can be really sad to see your producer watch your solutions and say: "You mean you want to use motion control? Are you mad? Forget it," ripping the page and dropping it in the trashcan. Unfortunately in Italy, this is very common. But to avoid this grotesque scene, we write more than one solution for shots, even if sometimes the second is an ancient method, as long as the final target we aim for is the best we can achieve.
A good visual effects study can't be compiled without the supervisor's touch; this is a very important role for us during the project analysis phase for production on stage and in front of monitor screens in post.
For these reasons I supervise all shoots involving our work, and I write down, on a special log, all possible data regarding set and motion picture camera setup, such as film stock and format, focal length used for that scene, shooting speed, camera inclination and height from the ground, eventual filters used, take duration and also if we did a light probe pass or clean plate.
Before, during and after shooting I also take some reference pictures of the whole instalment with my digital camera, and when special tasks need more relief, I also measure set dimension, light source positions, hour, day and, in some cases, also the wind direction.
Surely, I always ascertain myself that no one put color correction filters in the camera's mattebox or that the operator removed the gate to expose a full frame shot, so we can have more freedom in post avoiding other trouble.
Then, pictures and vfx logs are sent to our main office and put on the main server for operator's consultation.
Very often we bring with us laptop PC and video mixers on set that we use to show a first preview of the final shot because it can help directors to frame the scene easily, and/or eventually to go for subtle camera aligns if some visual effect shot needs it.
Although we use those techniques carefully for pre-production and production phases, it's very complicated to talk about a real visual effects industry here, especially for the movie world, because, while advertising is very open to the multiple possibilities offered from new digital media tools, the movie industry is still a little bit skeptical about digital grading applied in post.
Sometimes this scepticism and lack of technical knowledge in our country generate an awful lot of hostility and mistrust about digital methods in general, and also toward those professionals who work with them. Often a great number of Italian cinematographers complain about some bad detail they "feel" about your image (even if non-existent) just to find some bad artifact you did. In this case, I use the "sea way," which means that I go to spend a day on the beach, then come back, show the shot again and enjoy listening to the following response: "OK, man! Now it's correct. I told you that was the right way."
Videa recently joined with the Mathematics and Communication Science and Media department of the University of Tor Vergata of Roma, to create an R&D team. This program has benefited both the students and Videa.
We constantly fight this mentality in several ways, sometimes proposing tests just to prove the results that can be accomplished with great quality. I remember particularly the movie Francesco where we proposed building a digital backlot to compose behind the real set. The director gave us the opportunity to do that while assuring us that he would cut out every digital contribution anyway, because he hates digital. Instead he retained everything we did. It's all part of the education process.
Sometimes there is a lack of communication between production and postproduction staff, and a serious ignorance about the needs of digital tools to be used in post that would have been easy to manage, but became real blood-baths when the supervisor was not involved during the shoot. A good example was the movie Pontormo, the real life story of the painter and portraitist Jacopo Carrucci (nicknamed Pontormo) from 1400. Here the production had to shot long greenscreen sequences, but they did it with incredible carelessness, worrying only about putting a green cloth behind the actors. So when the ball was passed to us, we managed a shot operated with an ultra-high-sensitive film. Furthermore, the green "carpet" in the background was something like a gradient of greens; moreover, our frames were not coming from a film scanner but from a Telecine at 1,920 res. We said: "OK, let's start to prepare towels, suitacases, toothpaste and other stuff to live at the office till next summer."
To fix this terrible mess we used elbow oil and several tools and techniques, and finally came up with a solution to pull out the matte using multiple keying on a striped-subdivided image. So we divided the shots into three or four slices and applied the key on each portion. Then, we had to match the background image with a picture taken from a digital camera. Perspective was the only correct element in this image, but the color temperature, shadows and lighting intensity were way off. So while some were having problems enhancing mattes, others were correcting background images, striving also to maintain color palette, contrast and shadows of foreground image, because, after the matting phases, the foreground element couldn't be touched to avoid other artifacts.
This work was an unprecedented use of time and creativity that could have been avoided if the supervising staff had been involved during the shoot. Moreover, we would have had a better starting point if they had used good film stocks such as Kodak SFX200; it is a special negative that has a better response for green and bluescreen shooting, but not too many people know of its existence in Italy.
Anyway, the up and coming digital intermediate process is giving a great hand in this sense, because cinematographers have now more chances to become familiar with new tools and techniques, and it will probably help educate them more deeply. In this regard, Cinecittà Studios, which owns a large DI department with great equipment and professionals, is conducting good work.
Fortunately, our experience on Marcinelle, a true life story of a coal mine disaster which utilized 27 minutes of CGI, was a much better project. It wouldn't have been possible to face daunting work like this without suitable pre-production planning, and for that reason a meticulous supervising phase and carefully planned shoot were precious and irreplaceable. This show comprised fog, haze, fire, water, digital backlot, digital stunts and more, so I spent about a month inside a big soundstage supervising the second unit with the stunt coordinator, and writing lots of vfx log pages.
Those scenes included dropping stunts, greenscreens, real fire blasts and water pumping sequences. Obviously we shot thinking in advance what we would have put in post to enhance this hell.
During post work, though, we realized that some original sequences seemed very unrealistic, so we tried to reproduce them entirely using CGI. The final results were really amazing, and after the director's approval we were pleased to substitute the original shots with ours. They included sequences depicting digital stunts falling into precipices (3D digital backlot) and eaten by flames that we realized in CGI or shot in a backstage and then composited.
Almost every operator from the company worked on this show, facing difficult sequences to matchmove, especially those comprising digital backlot of the elevator's shaft. This was due to the subtle waves of the motion picture camera on set, which was not well locked to the fake lift; so this burdened the matching work. Several scenes needed also to enhance debris, so we went for a hybrid solution with CGI elements and other real stuff captured in front of our bluescreen.
By the way, the bluescreen stage is the real "tip of diamond" of the company; it satisfies a great deal of our shooting needs, also offering a reliable lighting system that is driven by a dedicated digital console. Moreover, video cameras such as Digital Betacam or HD that you can use in the blue box can be directly linked to framestore systems or the main server, allowing fast captures of the footage.
In Marcinelle and other productions we felt the need to optimize our production processes in order to reduce bottle-necks while always keeping a higher quality of work. One method was to develop new proprietary software plugins, so recently Videa signed a very important partnership with the Mathematics and Communication Science and Media department of the University of Tor Vergata of Roma, allowing an R&D team to be created inside our company. This profitable collaboration permits new graduate students to practice their ideas while serving our needs, marking Videa as one of the first Italian companies to enlist an R&D department inside its facilities.
Coming from different backgrounds, the first step was an alignment of their knowledge with ours by showing them our results and expectations. We had to educate them about "visual results" because very often scientists are more prone to study events or simulation with scientific points of view that are not necessarily visually-based. We also had to teach them that sometimes a good simulation can result in a bad visual result even if mathematically correct.
But the contribution of this new pool began immediately after a brief start-up period. They began to face several programming tasks to enhance the features of 3D and compositing packages we use, enriching them with new scripts and tools. For Softimage XSI, for example, they wrote other primitives, polygonal manipulation tools and some strange dynamics fields for particles (that seem to pop out from the screen!). And they have additionally focused on Maya, working on fluid effects, which we are interested in purchasing now that we know the capabilities. For compositing, while we are evaluating new packages such as Nuke, which seems to be a great software with good playout systems and several tricks for 3D manipulation, they did some experiments on Cyborg, the package we use mostly, trying to enhance the color corrector and mask tolls, but it's a work in progress.
From a production point of view, remembering the awful experience we had on Pontormo, the team was called on to create a tool for compositing, which would automate the process they did by hand on that film, analyzing the image, slicing it according to its own complexity and acting to extract the matte in a better way. This tool is still under construction as a standalone for certain situations that we hope to avoid in the future.
Other programming was done for Il silenzio dell'allodola, a movie still in progress, about a prisoner who suffers violent abuses in jail. This time the production need was to create fly swarm animations for multiple shots staged inside the prisoner's cell. We understood immediately that to make this work correctly we had to focus our attention on random fly behaviour, so we proceeded only after viewing a special documentary about insects that confirmed our ideas.
In this case, I personally wrote the first animation script based on translation and rotation, using noises and random parameters and variables and resulting in a very good realistic feel, done in a very short time. Going this route avoided the drawing of single curves and paths from scratch for all CGI elements involved, which would have meant very time-consuming work and would have resulted in repetition cycle problems. Instead, by going random, the animation is ever changing.
Following my instructions the R&D team realized a custom interface where the operator can define parameters for scene complexity, such as the number of flies, reference objects to visualize and modify the size of the animation area, velocity and random movement intervals. They are still working on the scripting where we need to display fly paths to get trajectories, and to check for any geometric penetration problems with real elements. To accomplish this, they are working on Barnsley's fractal interpolation algorithm and studying other methods written by Foley e Van-Dam.
Meanwhile, for the production E ridendo L'uccise, Videa was hired to create a realistic digital backlot, encompassing a medieval village entirely built in CGI. I spent several days in tight contact with set designer Giantito Burchiellaro (a very famous professional who worked with Federico Fellini), who rendered a color paint concept of the final scene, working on a pictorial took during location phase and a typical design for buildings that perfectly matched the era. With this great piece of art, the creative department of Videa started to divide the picture into single elements, obtaining detailed designs for each building, while respecting the style used by Burchiellaro and sending them to be modelled by the 3D department.
At the same time, I was on stage supervising the shoot, giving acting suggestions, studying camera moves and recording technical data on my beloved log.
On stage we also did a light probe shot to recover lighting information and to push the HDR image data inside Softimage XSI, obtaining a lighting map that best matched our 3D backlot with the real environment lighting condition we had on set.
Difficulties came when we had to track the camera movements of the original shot because we didn't have motion control during shooting, and the particular scene framing used for the long dolly movement didn't allow the use of track markers on set. It was so hard for our operators to figure out the right solution to track this, but we did it using automatic tools and some good hand work for certain frames.
More difficulties arose when we had to add fire and smoke to a fight in the village.
Digitally matching the elevator shaft in Marcinelle was a challenge for Videa's vfx artists.
Imitating nature is one of the things that we sometimes fail to manage, and while today it is easier to create good water, matching fire realistically represents a difficult task. The operation started by creating background fires in CGI, matched by archival footage in the foreground and shooting other footage on our backlot. More flames meant more haze and fog, so we had to provide enhanced particle animation. We used sprites attached to the particle systems along with some additional R&D work, but instead of using simple images, we relied on math and procedural techniques to generate them. The result was amazing and it looks so real, thanks also to great compositing work of more than 70 layers.
The collaboration between Videa and the R&D team has been so invaluable (they are now working on random particle paths to be applied to more complex surfaces and geometries, as well as further fluid simulations beyond what Maya already offers) that on Dec. 3, the University of Tor Vergata of Roma has organized an important meeting titled "3D Day," in which the Videa R&D team will unveil the results that this partnership has produced.
Recently we also decided for a pipeline evolution to improve our technical administration procedures and to simplify the connection between the two offices located in different cities (which will soon expand to three). To achieve that, general manager Sergio Di Renzo, working in tandem with the various technical departments, launched a project for a special remote database with multiple access points; it will allow supervisors to check remotely the production course, viewing the state of the art of single tasks assigned to operators and evaluate the need for other resources to avoid delays on deadline. From the operator point of view, it will offer more control, especially for working databases, frame storage and backups. Other features will be the check of rendering processes, CPU availability, automatic response for rendered scenes, auto frame transfer to playout systems or compositing workstation, auto back-up on dedicated machines and more.The whole system will be developed and realized using the knowledge of several outside professionals with skills in system administration and network engineering.
When completed it will be implemented and carefully used on a new idea we want to realize here: a movie entirely created in CGI, which is already in the production design stage. Soon the Videa Website (www.videa.it) will host images and the first trailer, and will contain a stunning 3D city filled with background detail created by procedural modelling.
In conclusion, I think that several Italian visual effects companies have begun to sharpen their graphical weapons and it will soon be possible to talk about a real explosion of new technological implementation for motion imaging in Italy. And for the first time, the David di Donatello Academy introduced an award last year for special effects, which is great recognition for the category. This in turn will allow visual effects companies to increase their services and to be more widely known abroad.
Gianluca Dentici is the vfx supervisor for Videa, located in Rome and Pescara, Italy.
Note: Readers may contact any VFXWorld contributor by sending an e-mail to [email protected].
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☐
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
FORM 10-K/A
Amendment No. 1
☒ANNUAL REPORT PURSUANT TO SECTION
13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended December 31, 2022
or
TRANSITION REPORT PURSUANT TO SECTION
13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from ________ to ________
Commission File Number: 001-37945
FLEXSHOPPER, INC.
(Exact name of Registrant as specified in its charter)
Yes
Delaware
20-5456087
(State or other jurisdiction of incorporation or organization)
(I.R.S. Employer
Identification No.)
901 Yamato Road, Ste. 260
Boca Raton, FL
33431
(Address of principal executive offices)
(Zip Code)
Registrant's telephone number, including
area code: (855) 353-9289
Securities registered pursuant to Section
12(b) of the Act:
Title of each class
Trading Symbol(s)
Name of each exchange on which registered
Common Stock, par value $0.0001 per share
FPAY
The NASDAQ Stock Market LLC
Securities registered pursuant to Section 12(g)
of the Act: None
Indicate by check mark if the registrant is a
well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes☐No☒
Indicate by check mark if the registrant is not
required to file reports pursuant to Section 13 or 15(d) of the Act. Yes
☐No☒
Indicate by check mark whether the registrant
(1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months
(or for such shorter period that the Registrant was required to file such reports), and (2) has been subject to such filing requirements
for the past 90 days. Yes☒No☐
Indicate by check mark whether the registrant
has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of
Regulation S-T (§232.405
of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files).
☒
No☐
Indicate by check mark whether the registrant
is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company.
See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company”
and “emerging growth company” in Rule 12b-2 of the Exchange Act:
Large accelerated filer: ☐
Accelerated filer: ☐
Non-accelerated filer: ☒
Smaller reporting company: ☒
Emerging growth company: ☐
If an emerging growth company, indicate by check
mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting
standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Indicate by check mark whether the registrant
has filed a report on and attestation to its management’s assessment of the effectiveness of its internal control over financial
reporting under Section 404(b) of the Sarbanes-Oxley Act (15 U.S.C. 7262(b)) by the registered public accounting firm that prepared or issued its audit report. ☐
If securities are registered pursuant to Section
12(b) of the Act, indicate by check mark whether the financial statements of the registrant included in the filing reflect the correction
of an error to previously issued financial statements. ☐
Indicate by check mark whether any of those error
corrections are restatements that required a recovery analysis of incentive-based compensation received by any of the registrant’s
executive officers during the relevant recovery period pursuant to §240.10D-1(b). ☐
Indicate by check mark whether the Registrant
is a shell company (as defined in Rule 12b-2 of the Act). Yes
☐
No☒
The aggregate market value of the voting and non-voting
common equity held by non-affiliates of the Registrant, as of the last business day of the Registrant’s most recently completed
second fiscal quarter, was approximately $11,240,000 (based on the price at which the Registrant’s common stock was last sold on
June 30, 2022 of $0.90 per share).
The number
of shares outstanding of the Registrant's common stock, as of April 24, 2023, was 21,752,304.
Documents incorporated by reference: None
Auditor Name: Grant Thornton LLP
Auditor Location: Fort Lauderdale, Florida
Auditor Firm ID: 248
Explanatory Note
This Amendment No. 1
on Form 10-K/A amends the FlexShopper, Inc. ("FlexShopper" or the "Company") Annual Report on Form 10-K for the
fiscal year ended December 31, 2022, as filed with the Securities and Exchange Commission ("SEC") on April 24, 2023 (the "Original
Filing"). We are filing this Amendment No. 1 to correct the Exhibit 23.2, as that Exhibit referenced to an inaccurate Audit
Report date. As required by Rule 12b-15 under the Securities Exchange Act of 1934, new certifications of our principal executive officer
and principal financial officer are being filed as exhibits to this Amendment No. 1 on Form 10-K/A.
Except as described above,
no other changes have been made to the Original Filing. The Original Filing continues to speak as of the date of the Original Filing,
and we have not updated the disclosures contained therein to reflect any events which occurred at a date subsequent to the filing of the
Original Filing. Accordingly, this Amendment No. 1 should be read in conjunction with our filings with the SEC subsequent to the
date of the Original Filing.
PART IV
Item 15.
SIGNATURES
Table of Contents
Page
Item 15. Exhibits and Financial Statement Schedules.
(a) The following documents are filed as part
of this Form 10-K/A:
(1) Exhibits: The following is a list of exhibits
filed as a part of this 10K-A:
Exhibit
* Filed
herewith.
PART IV
1
SIGNATURES
Pursuant to the requirements Section 13 or 15(d)
of the Securities Exchange Act of 1934, the Registrant has duly caused this Report to be signed on its behalf by the undersigned, thereunto
duly authorized.
FLEXSHOPPER, INC.
Dated: April 28, 2023
By: /s/ H. Russell Heiser, Jr.
H. Russell Heiser, Jr. Chief Executive Officer
2
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM
We have issued our report dated April 24, 2023, with respect to the
consolidated financial statements included in the Annual Report of FlexShopper, Inc. on Form 10-K for the year ended December 31, 2022. We
consent to the incorporation by reference of said report in the Registration Statements of FlexShopper, Inc. on Form S-3 (File No. 333-226823)
and Forms S-8 (File No. 333-203509,File No. 333-210487 and File No. 333-225222).
/s/ Grant Thornton LLP
Fort Lauderdale, Florida April 24, 2023
CERTIFICATION
PURSUANT TO
RULES
13a-14(a) AND 15d-14(a) UNDER THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED
I, H.
Russell Heiser, Jr., certify that:
1. I have reviewed
this annual report on Form 10-K of FlexShopper, Inc.;
2.
Based on my knowledge,
this report does not contain any untrue statement of a material fact or omit to state a material
fact necessary to make the statements made, in light of the circumstances under which such
statements were made, not misleading with respect to the period covered by this report;
3.
4.
5.
Based on my knowledge,
the financial statements, and other financial information included in this report, fairly
present in all material respects the financial condition, results of operations and cash
flows of the registrant as of, and for, the periods presented in this report;
The registrant's
other certifying officer and I are responsible for establishing and maintaining disclosure
controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal
control over financial reporting (as defined in Exchange Act Rules 13a-15(f) and 15d-15 (f))
for the registrant and have:
a. Designed such
disclosure controls and procedures, or caused such disclosure controls and procedures to
be designed under our supervision, to ensure that material information relating to the registrant,
including its consolidated subsidiaries, is made known to us by others within those entities,
particularly during the period in which this report is being prepared;
b. Designed such
internal control over financial reporting, or caused such internal control over financial
reporting to be designed under our supervision, to provide reasonable assurance regarding
the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;
c. Evaluated the
effectiveness of the registrant's disclosure controls and procedures and presented
in this report our conclusions about the effectiveness of the disclosure controls and procedures,
as of the end of the period covered by this report based on such evaluation;
d. Disclosed in
this report any change in the registrant's internal control over financial reporting
that occurred during the registrant's fourth fiscal quarter that has materially affected,
or is reasonably likely to materially affect, the registrant's internal control over
financial reporting; and
The registrant's
other certifying officer and I have disclosed, based on our most recent evaluation of internal
control over financial reporting, to the registrant's auditors and the audit committee
of registrant's board of directors:
a. All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are
reasonably likely to adversely affect the registrant's ability to record, process, summarize and report financial information;
and
b. Any fraud,
whether or not material, that involves management or other employees who have a significant
role in the registrant's internal control over financial reporting.
Date:
April 28, 2023
/s/ H. Russell
Heiser, Jr.
H. Russell
Heiser, Jr.
Principal
Executive Officer and Principal Financial Officer
CERTIFICATION
PURSUANT TO 18 U.S.C.
SECTION 1350
April 28, 2023
In connection
with the Annual Report of FlexShopper Inc. (the “registrant”) on Form 10-K for the year ended December 31, 2022 as filed
with the Securities and Exchange Commission on the date hereof (the “report”), I, H. Russell Heiser, Jr ., Chief Executive
Officer and Chief Financial Officer of the registrant, certify, pursuant to 18 U.S.C. § 1350, as adopted pursuant to § 906
of the Sarbanes-Oxley Act of 2002, that to my knowledge:
(1) The
report fully complies with the requirements of section 13(a) or 15(d) of the Securities Exchange Act of 1934, as amended; and
(2) The
information contained in the report fairly presents, in all material respects, the financial condition and results of operations of the
registrant.
/s/ H. Russell Heiser, Jr.
H. Russell Heiser, Jr.
Principal Executive Officer and
Principal Financial Officer
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CURRICULUM VITAE ELSA C. ARROYOS
Department of Counseling and Educational Psychology College of Education New Mexico State University P. O. Box 30001, MSC 3CEP Las Cruces, NM 88003-8001 (575) 646-6589 [email protected]
===============================================================
ACADEMIC HISTORY
Degrees
Certification
11/2009 - 11/2018
Nationally Certified School Psychologist (NCSP) (#34423)
EMPLOYMENT HISTORY
Associate Professor: Counseling and Educational Psychology
August 2015 – present: New Mexico State University
Responsibilities include teaching 6 courses per year for Doctorate, Educational Specialist and/or Bachelor's level students, advising graduate students, supervising students' clinical experiences, research endeavors, and service to the profession, university, and community. Primary assignment as faculty in the Ed.S. School Psychology Program.
Interim Department Head: Counseling and Educational Psychology
August 2014 – August 2015: New Mexico State University
Primary responsibilities include providing leadership for the department and the various programs; Ph.D. Counseling Psychology-APA Accredited, Ed.S. School Psychology-NASP Approved, M.A. Professional Counseling-ACA/CACREP Accredited, Psychopharmacology Program-Prescription Privileges for Psychologists, Undergraduate Major in Counseling & Community Psychology, Undergraduate Minor in CEP, Community Mental Health Wellness Clinic; representing departmental interests to higher administration, state and local community, students, schools, and, various other constituencies; and prepare and implement departmental budget; and teaching three courses per year.
Selected Accomplishments:
Ø Developed and implemented/collaborated on a new GA/TA orientation
Ø Revised the Departmental Faculty Annual Performance Evaluation rubric for tenured/tenure-track faculty
Ø Secured funding for a Post-Doctorate Fellow for The Clinic through the President's Performance Fund (renewable for 3 years)
Ø Secured permanent funding to reimburse faculty for clinical supervision outside of Las Cruces
Ø Increased UG majors from 10 (Fall 2013) to 61 (Fall 2015)
Ø Secured additional permanent GA funding
Interim Co-Department Head: Counseling and Educational Psychology
August 2013 – August 2014: New Mexico State University
Primary responsibilities include providing leadership for the department and the various programs; Ph.D. Counseling Psychology-APA Accredited, Ed.S. School Psychology-NASP Approved, M.A. Professional Counseling-ACA/CACREP Accredited, Psychopharmacology Program-Prescription Privileges for Psychologists, Undergraduate Major in Counseling & Community Psychology, Undergraduate Minor in CEP, Community Mental Health Wellness Clinic; representing departmental interests to higher administration, state and local community, students, schools, and, various other constituencies; and prepare and implement departmental budget, and teaching three courses per year.
Selected Accomplishments:
Ø Supported the various collaboration in behavioral health
Ø Oversaw the expansion of the undergraduate major Counseling & Community Psychology (e.g., hiring the program faculty and implementing recruitment efforts)
Ø Collaborated on efforts to expand the community clinic
Ø Transitioned the department to on-line systems (i.e., STAR audit) to assist with advising efforts
Associate Professor: Counseling and Educational Psychology
August 2008 – present: New Mexico State University
Responsibilities include teaching 6 courses per year for Doctorate, Educational Specialist and/or Bachelor's level students, advising graduate students, supervising students' clinical experiences, research endeavors, and service to the profession, university, and community.
Assistant Professor: Counseling and Educational Psychology
August 2004 – July 2008: New Mexico State University
Responsibilities include teaching 6 courses per year for Doctorate, Master's, Educational Specialist and/or Bachelor's level students, advising graduate students, supervising students' clinical experiences, research endeavors, and service to the profession, university, and community.
Targeted Assistant Professor: Counseling and Educational Psychology
August 2002 – June 2004: New Mexico State University
Responsibilities include teaching 6 courses per year for Doctorate, Master's, Educational Specialist and Bachelor's level students, advising graduate students, supervising students' clinical experiences, research endeavors, and service to the profession, university, and community.
School Psychology Intern
August 2001 – July 2002: Nebraska Internship Consortium in Professional Psychology
Omaha Public Schools, Omaha, NE (APA fully accredited). Supervisor: Janet Rose, Ph. D., Time per week: 40 hours, Supervision: 2 hours weekly one-on-one, 2 hours group supervision weekly. 2000 hour internship
Responsibilities included providing comprehensive school psychological services to 2 elementary schools and a middle school. Also a member of a multidisciplinary early intervention team for children ages birth to 3 to provide behavioral consultation and evaluations when appropriate. Other responsibilities included consultation with principals, teachers, counselors, parents, and other staff regarding learning, behavior, or mental health issues affecting students; pre-referral intervention (Student Assistance Teams); assessment (i.e., evaluate ability, academic levels, behavior, emotional development, and school/home environment) to help develop intervention plans or to assist in determining eligibility for special education services; and follow-up interventions. In addition, working with families, being a liaison to local mental health centers, and providing collaborative expertise and partnership with school colleagues. Other duties included participation on departmental staff committees, serving on crisis intervention teams and other school district committees (i.e., Safe, Secure, and Disciplined Schools Initiative). Participation in inservices/workshops and conferences (local and national).
Research Assistant
February 1998 – July 2001: The University of Iowa Hospitals and Clinics
Dept. of Psychiatry & Neurology, The University of Iowa Hospitals and Clinics, Iowa City, IA.
Responsibilities included conducting neuropsychological assessments with adults through the Adult Psychiatry Outpatient Clinic and with patients on research protocols for Huntington's Disease and Alzheimer's Disease. Research with school-age children and young adults with traumatic brain injury which included conducting a 4-5 hour neuropsychological, academic, and behavioral assessment battery. Developing research questions and conducting data analysis on a two-year longitudinal database consisting of neuropsychological, academic, psychiatric, and behavioral data from school-age children with traumatic brain injuries. Data analysis of a longitudinal database of juvenile Huntington's Disease patients. Neuropsychological data collection in Spanish for Huntington's Disease Collaborative Research Project in Venezuela (principal investigator: Dr. Nancy Wexler from Columbia University).
TEACHING
Undergraduate Courses Taught
Graduate Courses Taught
Course/Number/Name
Credits
CEP 512/612, Human Development 3
CEP 512/612 Human Development 3
CEP 547/647, Appraisal of Intell.
CEP 542, Appraisal Theory/Tech.
3
3
CEP 558, Child/Adol. Counseling
3
CEP 598, Special Research Programs 1-6
CEP 624, Prof. Sem, for School Psych. 3
Semester/Year
Campus/Type
Fall 2008 – Fall 2012,*/** Main/on-campus
Spring 2017*, Fall 2017*
Fall, 2002
Main/on-campus
Summer, 2011, '13, '14* Main/on-campus
Fall, 2003-2006 Main/on-campus
Fall 2007
Main/on-campus
Spring 2016-2017
Main/on-campus
Fall, 2004-2005; SumI 2005 Main/on-campus
Fall 2016
Summer II, 2011-2013 Main/on-campus
Summer II 2016-2017
*taught on-line
**Sabbatical, Spring 2012
Training & Supervision of Graduate Assistants
CEP 210: Educational Psychology (Fall/Spring 2002 - present)
Oversee the training and supervision of lesson planning and execution, classroom management, grading, etc. for, on average, 2 graduate assistants/instructors each semester. Supervision includes observation of instruction in the classroom and interactions with students outside of the classroom several times a semester.
CEP 215: Preschool Child (Spring/Fall 2010 – Spring 2013)
Oversee the training and supervision of lesson planning and execution, classroom management, grading, etc. for 2 graduate assistants/instructors each semester. Supervision includes observation of instruction in the classroom and interactions with students outside of the classroom several times a semester.
CEP 215: Preschool Child (Spring 2011)
Oversee the training and supervision of lesson planning and execution, classroom management, grading, etc. for a graduate assistant/instructor. Supervision includes observation of instruction in the classroom and interactions with students outside of the classroom several times a semester.
CEP 547/647 (Fall 2003 – Fall 2006)
Oversee the training and supervision of grading and student mentoring/assistance of one graduate assistant each semester.
CEP 110g: Human Growth & Behavior (Instructor: Janette Mialkowski; 10/24/2004)
Conducted a one time observation and critique of Ms. Mialkowski's teaching; a written critique and face-to-face meeting was conducted in addition to the classroom observation.
CEP 210: Educational Psychology (Instructor: Kim Horn; 11/13/04)
Conducted a one time observation and critique of Ms. Horn's teaching; a written critique and faceto-face meeting was conducted in addition to the classroom observation.
Guest Lecturer
New Mexico State University
Fall 2017
CEP 647: Appraisal of Cognitive Functioning
*WPPSI-IV
Fall 2016
CEP 647: Appraisal of Cognitive Functioning
*WPPSI-IV *WAIS-V
SumI 2006
CEP 110g: Human Growth & Development
*Infant/Child Development
Spring 2005-2007 EMD 101: Freshmen Orientation (2-4 sections)
*Introduction to the Department of Counseling & Educational Psychology
Spring 2005
CEP 608: Diagnostic Classification in School Psychology
*Traumatic Brain Injury in Children and Adolescents
Summer 2005 CEP 512: Human Development *Adolescent Development
Honors and Awards
Fall 2004
Selected by the New Mexico/West Texas Association of Student Assistance (SWASAP) Programs as the 2004 TRiO Achiever in recognition of accomplishments by a former TRiO program participant
Fall 1998 – Spring 2000
Educational Opportunity Program Tuition Scholarship at The University of Iowa
Fall 1997 – Spring 1998
Graduate Opportunity Fellowship at the University of Iowa
Spring 1996
Golden Key National Honor Society (collegiate level)
Spring 1996
Ronald E. McNair Post Baccalaureate Program Scholar TRiO program that prepares students from underrepresented groups to achieve a graduate education with the goal of returning to academia upon completion of a doctorate degree.
Spring 1995 - Spring 1997
Dean's Honor List at New Mexico State University as an undergraduate
Spring 1996 – Spring 1997 Crimson Scholar at New Mexico State University as an undergraduate
Spring 1997
National Hispanic Scholarship Fund Award
Fall 1993 - Spring 1997
New Mexico Scholars Tuition & Book Scholarship
Fall 1993 – Spring 1994
United New Mexico Bank Scholarship
Fall 1993
Education Association Scholarship
Fall 1993
Eddie Holguin Memorial Scholarship
Specialized Training
Summer 2011
NMSU, College of Education, Summer Technology Camp: Going Mobile
Fall 2010
Grant Proposal Development Workshop, Chicago, IL; Sponsored by the Monarch Center, The National Center for Personnel Preparation in Special Education at Minority Institutions of Higher Education
October 19, 2007
Basics of Language Interpreting in a Mental Health Setting (webinar, 2 hours)
October 15, 2007
NCATE: First Time Reviewers (webinar, 1 hour)
Fall 2007 – Spring 2008
Selected for the ADVANCING Leaders Program, NMSU
Spring 2003
Member, Teaching Academy, NMSU; 10 hours of training: Publish, Don't Perish Workshop Tenure & Promotion Workshop
WebCT Training, ICT, NMSU (8 hours)
Fall 2002
Principal Investigator Certification, College of Education, NMSU WebCT Training, ICT, NMSU (8 hours)
Professional Development
Spring 2017 – Fall 2017
Member, NMSU Teaching Academy. Membership in the NMSU Teaching Academy is based on participation. Membership requires 10-19 hours of participation within one year. Events attended: Team Mentoring for Faculty (10 hours)
Spring 2016 – Fall 2016
Spring 2015 – Fall 2015
Spring 2014 – Fall 2014
Spring 2013 – Fall 2013
Spring 2012 – Fall 2012
Member, NMSU Teaching Academy. Membership in the NMSU Teaching Academy is based on participation. Membership requires 10-19 hours of participation within one year. Events attended: Teaching with the Stars (2 hours); Team Mentoring for Faculty (10 hours)
9 Hours of Training, NMSU Teaching Academy. Events attended: GE Assessment Scoring Session (3 hours); Department Head Academy Book Club (6 hours)
Sustaining Member, NMSU Teaching Academy. Sustaining Membership in the NMSU Teaching Academy is based on participation. Membership requires 19-39 hours of participation within one year. Events attended: TA Presenter Hours (5 hours); Department Head Forum (1.5 hours); ALP Reunion & Recognition (2 hours); Department Head Academy Book Club (6 hours); Department Head Academy Workshop (1.5 hours); OCIP: Ipad Lightening Rounds (1.5); Department Head Academy Book Club (6 hours)
Sustaining Member, NMSU Teaching Academy. Sustaining Membership in the NMSU Teaching Academy is based on participation. Membership requires 19-39 hours of participation within one year. Events attended: Department Head Academy Workshops (3 hours); Summer Technology Camp (21 hours); OCIP: Interaction and Engagement in Online Learning (1.5 hours)
Member, NMSU Teaching Academy. Membership in the NMSU Teaching Academy is based on participation. Membership requires 10-19 hours of participation within one year. Events attended: Designing and Using Rubrics (3 hours); ADVANCE Mentoring Orientation (2 hours); Introduction to Canvas (2 hours): Canvas Labs (5 hours)
MENTORING
Practica/Field Experience Students:
School Psychology Practica: 57 students (total)
School Psychology Internship: 117 students (total) (current to Fall 2017)
Independent Studies
CEP 299: 1 students
CEP 499: 10 students
CEP 698: 1 student
Academic Success
CEP 199: 2 students
Undergraduate Research CCP Intern
CEP 498: 2 students (Kerstin Miller, Katie Wolf)
Graduate Student Committees:
*includes student committees for Educational Management & Development, Curriculum & Instruction, and Special Education/Communication Disorders in the College of Education; College of Business; College of Agriculture (ACES)
Current Advisees
MA: 2
Ed.S.: 5
McNair Scholar Mentor
Undergraduate Student: 1 (total)
Exíto Mentor
Undergraduate Student: 2 (total)
Graduate Assistants
CEP 210: 39 (total) (through Fall 2017)
Preparing Future Faculty Program Scholar Mentees
```
Karen Nehemia (Fall 2017 – Spring 2018) Jared Gonzales (Fall 2010 – Spring 2011) Jessica Castro (Fall 2008 – Spring 2009)
```
RESEARCH AND CREATIVE ACTIVITIES
Major Areas of Research Interest
Traumatic Brain Injury in Children and Adolescents Culturally Responsive Training, Practice, and Supervision in School Psychology Mentoring of P-16 Students and Junior/Early Career Faculty Women in Academia
Refereed Publications
Williams, E., Poel, E., Licona, M., Arroyos, E. & Meraz-Rodriguez, A. (2014). Perceptions of preservice teachers as they relate to professional practice. Journal of the American Academy of Special Education Professionals, Spring-Summer (on-line journal) www.naset.org/4015.0
Arroyos-Jurado, E., & Savage, T. A. (2007). Intervention strategies for serving students with traumatic brain injury. Intervention in School and Clinic, 43(2).
Poel, E. W., Arroyos-Jurado, E., Coppola, B. J. (2007). Women, mentoring, and a border university. Journal of Public Affairs Education, 12(4), 501-514.
Garcia-Vazquez, E., & Arroyos-Jurado, E. (2006). Trainers focus on the future: 2006 trainers of school psychologists mini-conference. Trainers in School Psychology Forum, 25(3), 15–18.
Arroyos-Jurado, E., Paulsen, J.S., Ehly, S., & Max, J.E. (2006). Traumatic brain injury in children and adolescents: Academic and intellectual outcomes following injury. Exceptionality, 14(3), 125-140.
Savage, T. A., Arroyos-Jurado, E. C., & Harley, D. A. (2005). Academic challenges among lesbian, gay, bisexual, and transgender students. New Mexico Review, 13(4). 19-20.
Lopez, E. J., Salas, L., Arroyos-Jurado, E., & Chinn, K. (2004). Current practices in multicultural assessment by school psychologists. Forum: Qualitative Social Research, 5(3). (electronic journal)
Savage, T. A., Arroyos-Jurado, E., Nero, C. L., & Garcia-Vazquez, E. (2004). Applying a culturally responsive paradigm to the field of school psychology: A framework for practice and training. Trainers in School Psychology Forum, 24(1), 10–18.
Refereed Publications (completed prior to NMSU appointment)
Arroyos-Jurado, E., Paulsen, J.S., Merrell, K.W., Lindgren, S.D., & Max, J.E. (2000). Traumatic brain injury in school-age children: Academic and social outcome. Journal of School Psychology, 38(6), 571-587.
Arroyos, E.C., & Garcia-Vazquez, E. (Spring, 1997). The effect of acculturation type on stress and social support among Mexican-American adolescents: abstract. National McNair Journal.
Invited Book Chapters
Arroyos-Jurado, E., Torres-Fernandez, I. & Navarro, R. (2010). Multiculturalism and Diversity in School Psychology. Handbook of Education, Training, and Supervision of School Psychologists in School and Community. Volume I: Foundations of Professional Practice. Edited by E. G. Vazquez, T. Crespi, and C. Riccio.
Arroyos-Jurado, E., & Merrell, K.W. Ervin, R. A., & Gimpel Peacock (2012). The changing face of school psychology: Responding effectively to cultural and linguistic diversity (chapter 3). In K. M. Merrell, R. Ervin, & G. Gimpel (Eds.), School psychology in the 21 st century: Foundations and Practices (2 nd Ed.). Guilford Press.
Non-Refereed Publications
Arroyos, E. C., Diaz, D., & Torres, I. (January/February 2018). Best practices in collaborating with interpreters: Lessons learned. Communiqué, 46(5).
Malone, C. M. & Arroyos, E. C. (January/February 2017). Leadership development: The hidden curriculum of graduate education. Communiqué, 45(5).
Ad Hoc Reviews
McGraw-Hill Higher Education (2007). Educational Psychology: Interdisciplinary and Multicultural Perspectives. (book proposal)
Jacobs, B. (2006). Suicide prevention and intervention in schools (Guide I-107). Cooperative Extension Service, College of Agriculture and Home Economics, New Mexico State University.
Professional Presentations
National
Arroyos, E. C., Diaz, D., & Torres, I. (2018). Best practices in collaborating with interpreters: Lessons learned. Field-based session at the National Association of School Psychologists Conference, Chicago, IL.
Vekaria, H., Arroyos, E. C., & Skalski, S. K. (September, 2017). New Leader Training, Part 2 Faceto-Face. Presentation at the National Association of School Psychologist's Leadership Assembly, Betheseda, MD.
McCollum, C., & Arroyos, E. C. (2017, August 29). NASP Mentor Training [Webinar]. NASP Leadership Development Committee Training Series.
Malone, C., Bass, S., Arroyos, E. C., & Nellis, L. (2017). School psychologists as leaders: The graduate student edition. Panel presentation at the National Association of School Psychologists Conference, San Antonio, TX.
Arroyos, E. C. (2017). Invited Panelist. Hobbs, T., Vekaria, H., Apgar, K., & Skalski, S. NASP 101: Understanding governance and leadership opportunities in NASP. Panel presentation at the National Association of School Psychologists Conference, San Antonio, TX.
Klempel, S.*, Arroyos, E. C., & Torres Fernandez, I. (2017). Traumatic brain injury in U.S. schools: Implications for school psychology graduate training. Poster presentation at the Trainers of School Psychologists Conference, San Antonio, TX.
Arroyos, E. C. (February, 2017). Individual Consultation for School Psychology Programs. National Association of School Psychologists, San Antonio, TA. Invited Program Consultant by Martin, A. D., Armistead, L.D. & Prus, J. (Graduate Education Committee).
Apgar, K., Arroyos, E. C., & Skalski, S. K. (September, 2016). New Leader Training, Part 2 Faceto-Face. Presentation at the National Association of School Psychologist's Leadership Assembly, Betheseda, MD.
Malone, C., Apgar, K., & Arroyos, E. C. (2016, July 14). NASP Mentor Training [Webinar]. NASP Leadership Development Committee Training Series.
Arroyos, E. C. (February, 2016). Individual Consultation for School Psychology Programs. National Association of School Psychologists, New Orleans, LA. Invited Program Consultant by Martin, A. D., & Prus, J. (Graduate Education Committee).
Arroyos, E. C. (February, 2015). Individual Consultation for School Psychology Programs. National Association of School Psychologists, Lake Buena Vista, FL. Invited Program Consultant by Prus, J, & Waldron, N. (Graduate Education Committee).
Arroyos, E. C. (February, 2014). Individual Consultation for School Psychology Programs. National Association of School Psychologists, Washington, DC. Invited Program Consultant by Prus, J, & Waldron, N. (Graduate Education Committee).
Arroyos, E. C. (February, 2013). Individual Consultation for School Psychology Programs. National Association of School Psychologists, Philadelphia, PA. Invited Program Consultant by Prus, J, & Waldron, N. (Graduate Education Committee).
Arroyos, E. C. (February, 2012). Individual Consultation for School Psychology Programs. National Association of School Psychologists, Seatlle, WA. Invited Program Consultant by
Prus, J, & Waldron, N. (Graduate Education Committee).
Kershaw, M. & Arroyos-Jurado, E. (2011). Current Professional Practices and Preferences for School Psychologists. Paper presentation at the National Association of School Psychologists Conference, Chicago, IL.
Morgan, M. & Arroyos-Jurado (2011). School Psychology Training and Supervision. Participant Information Exchange (PIE session) at the National Association of School Psychologists Conference, Chicago, IL.
Pitzer, A. & Arroyos-Jurado, E. (2011). An Examination of Collaboration: Effects on School Psychology Services. Poster presentation at the National Association of School Psychologists Conference, San Francisco, CA.
Arroyos-Jurado, E. García-Vázquez, E., & Torres Fernandez, I. (2010). Evaluation of a Math/Science Technology Camp for Middle School Students. Paper presentation at the National Association of School Psychologists Conference, Chicago, IL.
Arroyos-Jurado, E. (2007). Training and Practice Issues for Graduate Students from Culturally and Linguistically Diverse Backgrounds. Panel Co-Facilitator at the National Association of School Psychologists Conference, New York, NY.
Arroyos-Jurado, E., & Savage, T. A. (2006). School Psychology Training Programs and Issues of Cultural Sensitivity and Responsivity. Poster session at the National Association of School Psychologists Conference, Anaheim, CA.
Arroyos-Jurado, E. (2004). McNair: Student Voices. Invited panelist at the Council of Graduate Schools Annual Meeting, Washington, D.C..
Arroyos-Jurado, E. (2003). Building Bridges of Support for Mexican American Students in the Classroom. Invited keynote presenter at the Bethune Institute's Fourth Conference, Leaving No Child Behind: Bridging Academic and Cultural Gaps in Teaching-Learning, Home-School, & Community, Lexington, KY.
Arroyos-Jurado, E. (2003). Promoting Academic Success of Culturally and Linguistically Diverse Students. Invited break-out session at the Bethune Institute's Fourth Conference, Leaving No Child Behind: Bridging Academic and Cultural Gaps in Teaching-Learning, Home-School, & Community, Lexington, KY.
Arroyos-Jurado, E., Savage, T. A., & Nero, C. L. (2003). Applying a Culturally Responsive Paradigm to the Field of School Psychology: A Theoretical Framework for Training, Practice, and Supervision. Paper session at the National Association of School Psychologists Conference, Toronto, Canada.
Arroyos-Jurado, E., Paulsen, J. S., Ehly, S., & Max, J. E. (2003). Traumatic Brain Injury in Children and Adolescents: Academic, Intellectual, Learning, and Memory Outcomes 6 to 8 years following Injury. Paper session at the National Association of School Psychologists Conference in Toronto, April 2003.
Arroyos-Jurado, E. (2003). Capital Hill Visits. Council for Opportunity in Education's 22 nd Policy Seminar.
Arroyos-Jurado, E (1999). Implications and Practical Suggestions for Working with Biracial Students. Paper session presented at the National Association of School Psychologists Conference, Las Vegas, NV.
Arroyos-Jurado, E., Paulsen, J. S., Merrell, K. W., Lindgren, S. D., & Max, J. E. (1999). Traumatic Brain Injury in Children and Adolescents: Deficits Following Injury. Paper session at the National Association of School Psychologists Conference, Las Vegas, NV.
Arroyos, E. C. (1998). Collaboration and Consultation with Culturally and Linguistically Diverse Students. Symposium member at the American Psychological Association Conference, San Francisco, CA.
Arroyos, E. C., & García-Vázquez, E. (1997). The Impact of Acculturation Type, Stress, and Social Support on Mexican-American Adolescents. Poster session at the American Psychological Association conference in Chicago, IL.
Arroyos, E. C., & García-Vázquez, E. (1996). Acculturation Type, Stress, and Social Support among Mexican-American Adolescents. Paper and poster sessions at the National McNair Scholars Research Conference, Delavan, Wisconsin.
Arroyos, E. C., & García-Vázquez, E. (1996). Acculturation Type, Stress, and Social Support among Mexican-American Adolescents. Paper and poster sessions at the Penn State Research Conference for McNair Scholars, State College, PA.
State
Vázquez, L.A. & Arroyos, Elsa C. (2016, October). Student engagement, collaboration and competency: Technoethics and social media. CPD session presented at the New Mexico Association of School Psychologists Conference, Las Cruces, NM.
Arroyos, Elsa C. & Rossen, E. (2012, October). NASP Practice Model. CPD session presented at the New Mexico Association of School Psychologists Conference, Albuquerque, NM.
Torres Fernandez, I. & Arroyos, E. (2011, October). DSM-IV in the Schools: A Primer. CPD Session presented at the New Mexico Association of School Psychologists conference, Las Cruces, NM
Arroyos-Jurado, E. (2003). Multicultural Roundtable. Panelist at the New Mexico Association of School Psychologists conference, Las Cruces, NM.
Savage, T. A., & Arroyos-Jurado, E. (2003). Applying a Culturally Responsive Paradigm to the Field of School Psychology: A Theoretical Framework for Training, Practice, and Supervision. Paper session presented at the New Mexico Association of School Psychologists conference, Las Cruces, NM.
Arroyos-Jurado, E. (1999). Appropriate Assessment of Latino Youth and Their Families. Symposium member at the Strengthening and Valuing Latino Communities Conference, Iowa City, IA.
Arroyos, E. C. (1998). Ethical Assessment and Intervention with Multicultural Families. Symposium member at the Iowa School Psychology Association Conference, Des Moines, IA.
Arroyos, E. C. (1998). Appropriate Assessment and Intervention/Suggestions for the Real World. Symposium member at the Iowa Federation Council on Exceptional Children Conference, Iowa City, IA.
Local
Wolf, K.**, & Arroyos, E.C. (2017, October). The psychological aspects of sexually exploited young women: Trauma, trajectory, & triumph. Poster presentation at NMSU College of Education Inaugural Symposium.
Cutherbertson, C. & Arroyos, E. C. (November,, 2014). Webinar: An Introduction to the CAPE Toolkit for Community Leaders in Dona Ana County, New Mexico. Via Adobe Connect.
Arroyos-Jurado, E. (October, 2008; invited speaker). Why go to graduate school? New Mexico State University Graduate School Recruitment Fair, Las Cruces, NM.
Arroyos-Jurado, E. (September, 2008; invited panelist). Making the transition from assistant to associate professor. Teaching Academy, New Mexico State University, Las Cruces, NM.
Arroyos-Jurado, E. (2005). Keynote Address. Southwestern Association of Student Assistance Programs Annual Conference, NMSU, Las Cruces, NM.
Arroyos-Jurado, E. (2003). Keynote Address. Second Annual NM/WTASAP TRiO Day Celebration, NMSU, Las Cruces, NM.
Arroyos-Jurado, E. (1999). Diversity in the Classroom: A Challenge. One of three workshop presenters at Hoover Elementary School, Iowa City, IA.
Arroyos, E. C. (1998). Multicultural Issues Panel Discussion. Panelist for a symposium for speechpathology undergraduate students to better understand issues related to diversity at The University of Iowa, Iowa City, IA.
Arroyos, E. C. (1998). Americans of Achievement: A Selected List of Diverse Americans. One of three workshop presenters at West Liberty High School Multicultural Day, West Liberty, IA.
Arroyos, E. C., & García-Vázquez, E. (1997). Impact of Acculturation Type, Stress, and Social Support on Mexican-American Adolescents. Poster session at the New Mexico State University Undergraduate Research Symposium, Las Cruces, NM.
*graduate student
**undergraduate student
Institutional/Technical Reports
García-Vázquez, E., Arroyos-Jurado, E., & Savage, T. A. (2005). NMSU's School Psychology Program's Self-Study for Accreditation by the National Association of School Psychologists. This multi-volume document addressed all aspects of the Ed. S. program since its implementation in 1997.
Savage, T. A., Arroyos-Jurado, E., García-Vázquez, E., & Navarro, R. L. (2007). NMSU's School Psychology Program's Rejoinder for Re-Accreditation by the National Association of School Psychologists. This comprehensive document addresses identified areas of growth for the Ed. S. program since its initial provisional accreditation in 2005 to be considered for full accreditation.
Administrative Manuals
Arroyos, E. (Revised yearly, 2008 – 2012, 2015-2017). School Psychology Student Handbook for the School Psychology Program. New Mexico State University.
Arroyos, E. (Revised yearly, 2008 - 2012). School Psychology Student Program Information Packet. New Mexico State University.
Vázquez, E., & Arroyos-Jurado, E. (Revised yearly, 2002 - 2004). School Psychology Student Handbook for the School Psychology Program. New Mexico State University.
Vázquez, E., & Arroyos-Jurado, E. (Revised yearly, 2002 - 2004). School Psychology Program Information Packet. New Mexico State University.
Savage, T. A., & Arroyos-Jurado, E. (Revised yearly, 2004 – present). School Psychology Student Handbook for the School Psychology Program. New Mexico State University.
Savage, T. A., & Arroyos-Jurado, E. (Revised yearly, 2004 – present). School Psychology Program Information Packet. New Mexico State University.
Editorship
Sponsored Projects
Principal Investigator. Las Cruces Public Schools (LCPS)-NMSU CEP Mentorship. (August 2016 – May 2017). Funded $42,369.00. The purpose of this project is for school psychology graduate student interns to be mentored/trained by diagnosticians and school psychologists in LCPS. Stipends are provided to both the intern and their mentors.
Principal Investigator. Las Cruces Public Schools (LCPS)-NMSU CEP Mentorship. (August 2015 – May 2016). Funded $106,658.00. The purpose of this project is for school psychology graduate student interns to be mentored/trained by diagnosticians and school psychologists in LCPS. Stipends are provided to both the intern and their mentors.
Principal Investigator. Las Cruces Public Schools (LCPS)-NMSU CEP Mentorship. (August 2014 – May 2015). Funded $122,569.00. The purpose of this project is for school psychology graduate student interns to be mentored/trained by diagnosticians and school psychologists in LCPS. Stipends are provided to both the intern and their mentors.
Co-Principal Investigator with Dr. Esther Devall, Family & Consumer Sciences Department (July 2014 – February 2015). The Community Assessment and Education (CAPE) to Promote Behavioral Health Planning and Education Project – Phase II. Funded $108,809.00
Co-Principal Investigator with Dr. Esther Devall, Family & Consumer Sciences Department (July 2014 – February 2015). The Community Assessment and Education (CAPE) to Promote Behavioral Health Planning and Education Project. Funded $80,808.00
Lead Investigator: Bilingualism & Social Justice: Training the 21 st Century School Psychologist (Office of Special Education Programs, submitted May 2011) unfunded for $1,221,517.00; Principal Investigator, Elsa Arroyos; Co-Principal Investigator, Enedina Garcia-Vazquez, New Mexico State University. The purpose of this project is to increase the number of highly qualified bilingual and socially just school psychologists to deliver quality services to infants, toddlers, children, youth and their families from diverse cultural and linguistic backgrounds. At the end of the project period, 50 students will have been trained to provide quality school psychological services, with an emphasis on bilingual services and services to Native American children and families, leading to additional resources in educational systems and diversification for the field of school psychology.
Program Evaluator: Camp RED. (2011, supplemental compensation provided for summer) PI, Dr. Enedina García-Vázquez; New Mexico State University, Physical Science Laboratory. Served as co-evaluator for the camp which included the evaluation of camp as well as research data collection.
Program Evaluator: Camp RED. (2010, supplemental compensation provided for summer) PI, Dr. Enedina García-Vázquez; New Mexico State University, Physical Science Laboratory. Served as co-evaluator for the camp which included the evaluation of camp as well as research data collection.
Program Evaluator: I-Spy SCI Camp. (2009, supplemental compensation provided for summer) PI, Dr. Enedina García-Vázquez; New Mexico State University, Physical Science Laboratory. Served as co-evaluator for the camp which included the evaluation of camp as well as research data collection.
Program Evaluator: ENLACE Evaluation Project. (2008, funded for $35,000 with $20,000 plus up) Co-Evaluator with Dr. Enedina García-Vázquez; New Mexico State University. Served as coevaluator for the ENLACE statewide project which included the evaluation of several programs within five regions across the state of New Mexico. The outcome was an evaluation reported submitted to all the regions and the state of New Mexico's Higher Education Department.
Program Evaluator. Con Alma Foundation – Mentoring for Success Project. (2008, funded for $12,500) Co-Evaluator with Dr. Enedina García-Vázquez; New Mexico State University. Co-evaluator for a 12 month program to support adult mentoring program.
Program Evaluator: Globalization and Decision Science: Developing New Methods and Models for the Study of Social Dynamics in an Increasingly Interdependent World (National Science Foundation, IGERT; submitted June 2007; unfunded); Principal Investigator, Dr. Enedina García-Vázquez; New Mexico State University. The purpose of this IGERT proposal is to develop an inter-disciplinary research and educational program, aimed at training IGERT doctoral fellows in the field of decision science that specifically accounts for social dynamics in an increasingly interdependent world.
Lead Investigator: Training School Psychology Practitioners to Work with Diverse Populations (Office of Special Education Programs, submitted July 2006) funded for $800,000 beginning January 2007; Principal Investigator, Elsa Arroyos-Jurado; Co-Principal Investigator, Enedina Garcia-Vazquez, New Mexico State University. The purpose of this project is to increase the number of highly qualified school psychologists to deliver quality services to infants, toddlers, children, youth and their families from diverse cultural and linguistic backgrounds. At the end of the project period, 60 students will have been trained to provide quality school psychological services, with an emphasis on bilingual services, to a diverse population leading to additional resources in educational systems and diversification for the field of school psychology.
Lead Investigator: School Psychology Training Programs and Issues of Cultural Sensitivity and Responsivity (New Mexico State University, College of Education Internal Faculty Research Grant, October 2005, funded for $1000.00). The goal of this project is to learn about the mission, beliefs, and actual practices in the areas of cultural sensitivity and responsivity school psychology preparation programs espouse and conduct in the training of their students.
Researcher: Hispanic Cultural Influences on Risk Factors in HIV/STI Transmission in the, Paso del Norte U.S.-Mexico International Border Region (New Mexico State University Mini-Grant Program (unfunded), 2005; $14,116). The goal of this project was to assess the influence of Hispanic cultural values on persons from various Hispanic subcultures living in the border region related to risk factors in the transmission of HIV and other sexually transmitted infections. The investigators hoped to apply what they learned from this process in developing effective prevention and treatment programs with this particular population of people.
Program Director: Exploring the Feminine: Gender, Identity, and Sexuality (New Mexico Humanities Council Grant, November 2004) funded for $6270.00 total for direct and indirect costs; CoDirector with Denise McWilliams, Ph.D., & Diane-Michele Prindeville, Ph.D., New Mexico State University.
Data Consultant: Let's Read Project (State of New Mexico funded reading project, Summer 2004, Co-Principal Investigators, Drs. Elissa Poel; Kathy Chinn, Loretta Salas & Eric Lopez, SPED/CD); data consultant for the project.
Faculty Neuroscience Scholar: MRISP, Neuroscience Research Enhancement Program at New Mexico State University (unfunded), 2003; PI: Dr. Elba Serrano). The goal of this project is to strengthen the
institution's research capability in mental health by establishing a Neuroscience Research Enhancement Program.
Sponsored Projects (completed prior to NMSU appointment)
Researcher: Neuropsychology of Psychosis in Alzheimer's Disease: Research Supplement (National Institute of Mental Health Training Grant: 5/1/98 - 8/30/01; funded for $99,159 total for direct and indirect costs); Co-authored with Jane S. Paulsen, Ph.D., Adult Psychiatry, University of Iowa Hospitals and Clinics.
Researcher: Traumatic Brain Injury in School-Age Children: A prospective study (Children's Miracle Network Grant at University of Iowa Hospitals and Clinics; 11/1/98 -11/1/00; funded for $7500); Co-authored with Jane S. Paulsen, Ph. D. and Jeffrey E. Max, MBBCH, Adult and Child Psychiatry, University of Iowa Hospitals and Clinics
Other Research Experience
Spanish Translation Project
Fall 1998
Consultant for Wide Range
University of Iowa School Psychology Program
Supervisor: Kenneth W. Merrell, Ph. D.
Project: Translation of the ADHD Symptoms Rating Scale (ADHD-SRS) Parent Version into a Spanish-Language version for the authors (Melissa Lea Holland, Gretchen A. Gimpel, and Kenneth W. Merrell).
Spanish Translation Project
Fall 1997
University of Iowa School Psychology Program
Supervisor:
Kenneth W. Merrell, Ph. D.
W. Merrell) into the Escalas de Comportamiento para Pre-Escolares y Kinder (ECPK), a Spanish-
Project:
Translation of the Preschool and Kindergarten Behavior Scales (PKBS) (author, Dr. Kenneth
Language version of the PKBS.
SERVICE
Service to the Profession
7/2014 – 7/2019
Delegate, National Association of School Psychologists (elected
11/2009 – 10/2011
Webmaster, Trainers of School Psychologists
10/2008 – 10/2014
Webmaster, New Mexico Association of School Psychologists
December/June 2010-2011 Invited Guest, National Association of School Psychologists,
Program Approval Board
December 2013
Invited Guest, National Association of School Psychologists, Program Approval Board
May 2006 – December 2008 President Elect, Phi Kappa Phi
May 2005 – May 2006
Treasurer, Phi Kappa Phi
August 2012 – present
Secretary, Phi Kappa Phi
August 2004 – August 2006 Secretary, New Mexico Association of School Psychologists, NMASP
Sept. 2006 – October 2008 Southwest Regional Rep., New Mexico Assoc. of School Psych.
Service to the University
Fall 2017 – present
Faculty Fellow for first year students in Rhodes Garrett Hamiel (RGH) hall
Fall 2017 – present
Faculty Senator, College of Education/CEP
Fall 2016 – present
Member, Graduate Council
Fall 2015 – present
Member, Annual Academic Departmental Assessment Committee
(formerly Advocates for Scholarly Teaching committee now
combined with CASL-B committee)
Fall 2015 – present
Faculty Advisor to School Psychology Graduate Student
Organization (chartered by ASNMSU)
Fall 2015 – Summer 2017 Member, CAST Minor Committee
Fall 2015 – Spring 2017
One-on-One Faculty Mentoring Program through Teaching
Academy (role: Mentor)
Spring 2015
General Education Student Learning Assessment Scoring Session
Fall 2010 – Spring 2013
Member, Institutional Review Board
Fall 2009 – Fall 2012
Member, Graduate Council
Fall 2008
Salary Task Force
Fall 2006 – Spring 2013
Faculty Advisor to School Psychology Graduate Student
Organization
Fall 2007 – Spring 2008
Scholastics Affairs Committee (Faculty Senate)
Fall 2006 – Spring 2008
Faculty Senator, College of Education
Fall 2006 – Spring 2007
Faculty Affairs Committee (Faculty Senate)
Fall 2006 – Spring 2007 Committee on Committees
Spring 2006 – Spring 2013 College of Education, Living Learning Communities Mentor
Fall 2005
Engineering Psychologist/Faculty Search Committee, College of Arts & Sciences, Psychology Department
August 2005 – Dec. 2006 HLC/NCA Subcommittee Member (Criterion 4)
Fall 2005
Beginning of Semester Training, Student Support Services
Sept. 2004 – October 2007 Scholarship Committee, Hispanic Faculty/Staff Caucus
Fall 2004
Selected by Provost Flores to be a participant in focus group for
Arizona State University on a Ford Foundation Grant on "Diversity
and the Academy"
Service to the College of Education
Spring 2016 – present
Member, Faculty Affairs Committee
Spring 2008 – Spring 2009 Strategic Planning Committee, Member
2006 – 2009
NCATE Subcommittee on Assessment, Member
2006 – 2013
Budget/Technology Committee Representative
August 2005 – Dec. 2005 Stan Fulton Chair for the Improvement of Border and Rural Schools,
Advisory Committee Member
August 2004 – present
Leadership Council, NMSU, College of Education
February 2004 – Fall 2006 Member, Educational Diagnostician Training Committee
August 2002 – August 2006 Student Affairs Committee, NMSU, College of Education
August 2002
"No Child Left Behind" Task Force, NMSU, College of Education
Service to the Department of Counseling & Educational Psychology
Fall 2015 – present
Program Coordinator, School Psychology Program
Fall 2016 – present
Coordinator, MAP (CCP and Educational Diagnostics)
Fall 2017 – present
Long Range Planning Committee
Fall 2017 – Spring/Summer School Psychology Tenure-Track Associate/Professor Search 2018 Committee Chair
Spring 2018 – Summer 2018 Assistant Professor SP Faculty Search Committee Chair
Fall 2015 - Spring 2016
Assistant Professor Faculty Search Committee Chair
Fall 2016
Assistant Professor Faculty Search Committee
Spring 2008 – Summer 2013 Program Director, School Psychology Program
August 2004 – Fall 2007 Director of Recruitment & Retention, School Psych. Program
August 2002 – Fall 2007 Member, School Psychology Training Committee
Spring 2007
Department Head Search Committee
Spring 2007 – Spring 2008
School Psychology Tenure-Track Assistant Professor Search Committee
Spring 2007
School Psychology College Assistant Professor Search
Committee
Spring 2006
Counseling Psychology Tenure-Track Assistant Professor Search Committee
Target Position for Native American Assistant Professor Search Committee
Spring 2004
School Psychology Tenure-Track Assistant Professor Search Committee
Fall 2004 – Spring 2007
Coordinator, Testing Center
August 2003 – July 2004 Co-Director of Training, School Psychology Program
August 2002 – Dec 2005 Member, Master's in Counseling Training Committee
Service to the Community
Spring 2018 – present
Consultant to LCPS on Crisis Response Planning
March 2018
Professional Development Training to LCPS Mental Health
Providers on Ethical Decision Making (with Dr. Ivelisse Torres Fernandez, 4 hours)
Spring 2016 – Spring 2017
Facilitator and/or Monitor, Including Parents in Education (IPE), Las Cruces Public Schools
November 2009 – 2010
Consultant/Program Evaluator, ACE Program, Gadsden Independent School District
May 2007
Provided In-Service Workshop on Stress Management to Myrna's Children's Village (1.5 hour) staff
Fall 2006
Mental Health Coordination Team as part of the Crisis Plan for Myrna's Children Village, NMSU
Professional Memberships National
April 2005 – present
Phi Kappa Phi
August 1997 – present
American Psychological Association
August 1997 – present
National Association of School Psychologists
State
August 2002 – present
University
August 2002 – August 2008
New Mexico Association of School Psychologists
Hispanic Faculty/Staff Caucus
Language
Literate in all aspects of the Mexican American language and culture, including competency in bilingual assessment.
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JULY 31, 2022
Office: (615)794-5267
WEBSITE:
www.southernhills.net
SOCIAL MEDIA EMAIL: [email protected]
Volume 33 Issue 30
OUR ELDERS:
David Broome Lee Glasscock
Dan Cottrell
Ronnie Jackson
John Cottrell Jeff Rhodes
Clint Oppermann
EMAIL: [email protected]
OUR DEACONS:
Dale Alden
Caleb Chitwood
Jimmy Davis
John Dees
Chris Doughtie
Jon Ferrie
Chris Graham
Ryan Haedge
DeWayne Johnston
Cody Lovett
Matt Lyndoe
William Marrison
Phillip McCullough
Len McKnatt
Nathan McRady
Michael Meade
Alex Melton
Matt Potts
John Pratt
Cullen Rodgers
Jared Street
Thomas Waggoner
Daniel Winkler
OUR STAFF:
Garrett Bookout -Minister
Andy Miller -Family Life
Cody Lovett - Youth
Katie Vanderpool - Office
EMAIL: [email protected]
A Humble Heart
Most of us are probably familiar with the account of Job in the Bible. He was a man who God blessed with many riches, good health, and a beautiful family. What we read about in this book is the time in his life when Satan put him through many trials. During those trials he lost just about all he had. To make matters worse, his friends accused him, saying that it was all his fault. When we get to the end of this book God restored to Job all his loses and much more. However, a point we often forget is "when" God restored to Job his loses. Job 42:10 says this "And the LORD restored Job's losses when he prayed for his friends. Indeed the LORD gave Job twice as much as he had before". They should have been there to console Job instead of accuse him. Their ignorance of God provoked Him to wrath and hurt Job (Job 42:7). I find it interesting that in order for them to find forgiveness Job had to pray for them (Job 42:8-10). For a man of bitter heart that would have been very difficult. The fact that Job so willingly prayed for his friends shows the humility he had. Let us all strive to have a heart like Job.
- Garrett Bookout
AM – "Living in the Presence of God " (Psalm 15) Kids Corner 4:45pm Room 105 PM - YOUNG MEN
Read the Bible in 1 Year in Historically Written Order:
Sunday - Proverbs 13-15; Monday - Proverbs 16-18;
Tuesday- Proverbs 19-21; Wednesday- Proverbs 22-23;
Thursday - Proverbs 24-26; Friday - Proverbs 27-29;
Saturday- Proverbs 30-31
PRAYER LIST and ANNOUNCEMENTS
SICK LIST
THOSE TO SERVE
Mona Duty has been moved to Alive Hospice
Sharon Welborn is going through chemo treatments
Doug Smithson has been moved to NHC Place in Columbia
Bobbie Wilhoite was in the hospital but is now back at Morning Pointe
Tonja McRady is at home recovering from surgery
Continue to Remember: Sue Beck, Gary & Erika Berglund, Jane Brown, Craig & Beth Cottrell, Barbara Dees, Mona Duty, Wayne Elkins, Lynley Eller, Steve Higginbotham, Frieda Holloway, Sandra Hudiburg, Beverly Jenkins, Barbara Jones, Richard King, Gail Krech, Beth & Jimmy Lincoln, Janice Martin, Ron & Janice Maynard, Paul Mabry, Sherrie Mangrum, Bracey Mayo, Tonja McRady, William Morrison, Terri Riccio, Bryant Rimmer, Wayne Rodgers, John & Melba Sims, Doug Smithson, Jimmy Smithson, William Turner, Mike Vice, Bobbie Wilhoite, Mike Wilson, Mike Wright, Holly Winkler, Shannon Woodroof.
YOUTH NIGHT SPEAKERS
Caleb McRady is the son of Nathan and Tonja McRady. Caleb will be a senior in high school this year.
Reagan Graham is the son of Eric and Lori Graham. Reagan will be a sophomore in high school this year.
DISASTER RELIEF
Tomorrow, August 1st at 10am Disaster Relief will be running their normal food box packing line. If you can help, please be at Disaster Relief at 410 Allied Drive in Nashville before 10am tomorrow.
NURSERY TODAY SUNDAY July 31, 2022
AM: Mandy Chitwood & Nikki Lovett PM: Vi Waldrep & Monica Wooten
NURSERY NEXT SUNDAY - August 7, 2022
AM: Linda Cottrell & Jennifer Waggoner PM: Emma Bookout & Becca Melton
TODAY — SUNDAY, July 31, 2022
USHERS: Elvis Caldwell,
Jon Ferrie, Rabbit Smithson, Tony Tucker
Song Leader:
Matt Lyndoe
Reader:
Len McKnatt
Scripture:
Philemon 1:8-25
Opening Prayer:
John Rhodes
Preside at Lord's Table:
Stephen Welsh
Serve the Lord's Supper: David Cost,
Calvin Davis, Steve Ellis, Randy Holt
Closing Prayer: Gabe Opperman
TODAY'S 5PM SERVICE
THE RECORD
COLLECT COMMUNION CUPS – August
William Marrison Family
BUILDING LOCK-UP - August
Chris Graham & Michael Meade
MONTHLY ELDER CHAIRMAN - August
John Cottrell
Online Giving Instructions
Give online:
https://www.southernhills.net/OnlineGiving
By App:
Search for "Church by MinistryOne" on the app store
By Text: Text "Give" to (615) 265-6550
UPCOMING EVENTS
Please contact the Church office to schedule an event
UPCOMING EVENTS
TODAY - Bible Bowl Practice, 2pm
TODAY - Annual Back to School Bash, 7pm at Brentwood Skate Center
Sunday - No Bible Bowl Practice
LADIES DAY
Ladies' Day will be on Saturday, September 24th from 9 am to 12 noon. This year's speaker will be Lori Boyd. Please plan to join us for a morning of fun, food and fellowship. If you have any questions or would like to help please see Linda Cottrell.
HELP NEEDED!
With our new direction signage around the building complete, we would like to update our road sign.
If you are interested in helping work on this project, please contact David Broome at (615-498-2091).
SUMMER SERIES 2022
August 3, 2022 - Roderic Armstrong Ministering to those who are Physically Ill
August 10, 2022 - Joe Wells Leading at Work and School
August 17, 2022 - Chandler Means Protecting our Children
August 24, 2022 - Jerry Elder Serving the Widow & the Elderly
August 31, 2022 - Glen Colley An Overall Call to Action to Christians
Please join us evening July 31st at 7pm for our Annual Back to School Bash! It will be at the Brentwood Skate Center with Millview & Concord Road.
The cost is $16 per person and will include skates, pizza and drinks. This is to be paid at the door for admittance. If you have any questions, please see Andy Miller.
BIBLE BOWL PREPERATION
Our study of the book of Joshua has brought out details and facts of Bible characters most of the time we would gloss over and not give a second thought. Joshua 1:3 "Every place that your sole of your foot will tread upon I have given to you, as I said to Moses". The verb used here is past tense, meaning God has already given the land to them. The children of Israel simply had to follow the Lord's command and do what he said and the land would be theirs.
Joshua 1:16 Joshua was speaking to the officers of the tribes of Rueben, Gad and half of Manasseh telling them what their responsibility would be in conquering the land, since their land would be on the opposite side of the Jordan. Their response was "Just as we heeded Moses in all things, so we will heed you. Only the Lord God be with you, as He was with Moses. Whoever rebels against your command and does not heed your words, in all that you command him, shall be put to death. Only be strong and of good courage." The children of Israel showed their respect for Joshua and the Lord by verbally committing to holding themselves accountable to what the Lord said. They would self govern themselves and not tolerate anyone who did anything contrary to what the Lord commanded. One final phrase that consistently comes up in the book of Joshua is "be strong and of good courage". This was a constant reminder from Joshua to the people. He knew it would be difficult and the people would have to maintain their physical strength as well as their mental strength. We also need to apply this message to our lives being strong and coura- geous; maintaining our spiritual discipline as well as our physical discipline. We encourage everyone to spend time looking at the details of this book as we all prepare for Bible Bowl 2022!
...from Andy & Cody
KFC at LPG Sports Academy
Fall Retreat
Oct 28-30, 2022 Mark your calendars for our annual Fall Retreat in Dickson, TN with Millview Church of Christ. More details to come soon!
YOUTH 2022 Calendar
July 31, 2022 - Bible Bowl Practice, 2pm July 31, 2022 - Annual Back to School Bash! It will be at the Brentwood Skate Center with Millview & Concord Road. The cost is $16 per person and will include skates, pizza and drinks. This is to be paid at the door for admittance.
October 28-30, 2022 - Fall Retreat
SUNDAY MORNING WORSHIP - 9 AM
BIBLE CLASS - 10 AM
SUNDAY EVENING WORSHIP - 5 PM
WEDNESDAY EVENING BIBLE STUDY - 7 PM
The KFC group (1st-5th grade) will be having a fun night of play on Friday, August 5th at LPG Sports Academy in Franklin. Plan to drop off your children at the building at 5pm for dinner which will be provided. We will plan to leave the building around 5:45pm or parents can drop off at LPG at 6pm. Plan to pickup back at church at 8:30pm. If you have any questions please see Cody or Nikki Lovett.
KFC 2022 Calendar
TODAY 2pm - Bible Bowl Practice August 5th- LPG Sports Play Night August 7th-No Practice August 14th- Bible Bowl Practice August 21st- Bible Bowl Practice August 28th- Bible Bowl Practice September 2nd- KFC Devo September 11-Bible Bowl Practice September 25th- Bible Bowl Practice October 2nd-Bible Bowl Practice October 5th- Adult Bible Bowl Challenge October 7-8th- Bible Bowl Weekend in Cookeville November 4th- KFC Service Project December 9th- KFC Holiday Party TBA- KFC Holiday Caroling
Southern Hills Church of Christ
2508 Goose Creek By-Pass
Franklin, TN 37064
Address Correction Requested
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1. 34 V.I.C. § 453, (2016), TITLE THIRTY-FOUR Welfare, Chapter 15. The Elder and Dependent Adult Abuse Prevention Act, § 453. Mandated reporter; duties, Copyright © 2016 Office of the Code Revisor, Legislature of the Virgin Islands
(a) Any mandated
reporter who, in the mandated
reporter's professional capacity, or within the scope of the
mandated reporter's employment, has observed or has
knowledge of an incident that reasonably appears to be physical abuse, abandonment, abduction, isolation, financial abuse, or neglect, or is told by an elder or dependent adult that he has experienced behavior, including an act or omission, constituting abuse,abandonment, abduction, isolation, financial abuse, or neglect, or reasonably suspects such conduct is taking place, shall report the known or suspected instance of abuse by telephone immediately or as soon as reasonable practicable, and by written report sent within two working days from the date of the reported incident to the Department of Human Services or the local law enforcement agency. (b) (1) Any mandatedreporter who has knowledge, or reasonably suspects, that types of elder or dependent adult abuse for which reports are not mandated have been inflicted upon an elder or dependent adult, or that the elder's or dependent adult's emotional well-being is endangered in any other way, shall report the known or suspected instance of abuse to the Department of Human Services. (2) If the conduct involves criminal activity, themandated reporter or any person shall report it immediately to the appropriate law enforcement agency. (c) When two or more mandated reporters are present and jointly have knowledge or reasonably suspect that types of abuse of an elder or dependent adult for which a report is or is not mandated have occurred, and when there is agreement among them, the telephone report may be made by a member of the team selected by mutual agreement, and a single report may be made and signed by the selected member of the reporting team. Any member who has knowledge that the member designated to report has failed to do so shall thereafter make the report. (d) A telephone report of a known or suspected instance of elder or dependent adult abuse must include, the name of the person making the report, and if known, the name and age of the elder or dependent adult, the present location of the elder or dependent adult, the names and addresses of family members or any other person responsible for the elder or dependent adult's care, the nature and extent of the elder or dependent adult's condition, the date of the incident, and any other information, including information that led that person to suspect elder or dependent adult abuse, as requested by the agency receiving the report. (e) The reporting duties under this section are confidential and no supervisor or administrator may impede or inhibit the reporting duties, and no person making the report may be subject to any sanction for making the report. However, internal procedures to facilitate reporting, ensure confidentiality, and apprise supervisors and administrators of reports may be established, if they are not inconsistent with this chapter. (f) Any mandated reporter, administrator or supervisor who: (1) fails to report
abuse or neglect of an elder or dependent adult, in violation of this section, is guilty
of a misdemeanor, ...
... not more than six months' imprisonment, or both such fine and imprisonment; or (2) fails to report abuse or neglect of an elder or dependent adult, in violation of this section, when that abuse or neglect results in death or great bodily injury, is guilty of a misdemeanor, ...
2. 5 V.I.C. § 2533, (2016), TITLE FIVE Judicial Procedure, Subtitle 2 Family Division Procedure, Chapter 201. Family Division of the Superior Court, Subchapter
IV. Abuse and Neglect Matters, § 2533. Persons mandated to report suspected abuse, sexual abuse and neglect, Copyright © 2016 Office of the Code Revisor, Legislature of the Virgin Islands
(a) When any physician, hospital personnel engaged in the admission, examination, care or treatment of persons, nurse, dentist or any other medical or mental health professional, school teacher or other ...
... officer or law enforcement official, has reasonable cause to suspect that a child has been subjected to abuse, sexual abuse or neglect, or observes the child being subjected to conditions or circumstances that would reasonably result in abuse or neglect, he shall immediately report it or cause a report to be made in accordance with the provisions of this subchapter. (b) Whenever any person is required to report under this subchapter in his capacity as a member of the staff of a medical or other public or private institution, school, facility or agency, he shall immediately notify the person in charge of such institution, school facility or agency, or his designated agent, who shall then also become responsible to report or cause reports to be made. However, nothing in this subchapter is intended to require more than one report from any such institution, school or agency; but neither is it intended to prevent individuals from reporting on their own behalf. (c) In addition to those persons and officials specifically required to report suspected child abuse,sexual abuse and neglect, any other person may make a report if such person has reasonable cause to suspect that a child has been abused or neglected or observes the child has been abused or neglected or observes the child being subjected to conditions or circumstances that would reasonably result in abuse or neglect.
3. 34 V.I.C. § 459, (2016), TITLE THIRTY-FOUR Welfare, Chapter 15. The Elder and Dependent Adult Abuse Prevention Act, § 459. Cross-report to law enforcement agency and licensing agency, Copyright © 2016 Office of the Code Revisor, Legislature of the Virgin Islands
(a) The Department of Human Services, local law enforcement agencies and the ombudsman shall report the results of their investigations, referrals or reports of elder or dependent adult abuse to the respective referring or reporting agencies in the following manner: (1) The Department of Human Services shall, within 24 hours after the reported incident or as soon as practicable, report by telephone to the law enforcement agency having jurisdiction over the case of any known or suspected instance of criminal activity, and to any public agency given responsibility for investigation in that jurisdiction of cases of elder or dependent adultabuse, every known or suspected instance of abuse of an elder or dependent adult. The Department of Human Services shall also send a written report of the alleged incident within two working days from receiving the information concerning the incident to each agency to which it is required to make a telephone report under this subsection. (2) The Police Department or other law enforcement agency shall, within 8 hours or as soon as practicable, report by telephone to the Department of Human Services every known or suspected instance of abuse of an elder or dependent adult. A local law enforcement agency shall also send a writtenreport within two working days after receiving the information concerning the incident to any agency to which it is required to make a telephone report under this subsection. (3) If the Department Human Services or local law enforcement agency or ombudsman receiving a report of known or suspected elder or dependent abuse determines,
pursuant to its investigation, that the abuse is being committed by a health practitioner licensed under Virgin Islands law, or by a person purporting to be a licensee, the Department Human Services, Police Department or other law enforcement agency or ombudsman, shall report this information to the appropriate licensing agency within 8 hours after receiving the report, or as soon as practicable. The licensing agency shall investigate the report in light of the potential for physical harm. The transmittal of information to the appropriate licensing ...
... reported under this paragraph must remain confidential and may not be disclosed. (b) Any person may report any instance of abuse, neglect or abandonment occurring in a health care facility which has seriously harmed any ... ... serious threat to the health or physical well-being of a patient in that facility.
The report
must contain information about the circumstances related to the reported neglect but must ...
... potential victim and the Department of Human Services and the reporting agency shall maintain the confidentiality of the report until the report becomes a matter of public record.
4. 34 V.I.C. § 454, (2016), TITLE THIRTY-FOUR Welfare, Chapter 15. The Elder and Dependent Adult Abuse Prevention Act, § 454. Other persons making report, Copyright © 2016 Office of the Code Revisor, Legislature of the Virgin Islands
Any person who is not a mandated reporter under this chapter, who knows, or reasonably suspects, that an elder or dependent adult has been the victim of abuse may report the abuse to a local law enforcement agency.
5. 34 V.I.C. § 463, (2016), TITLE THIRTY-FOUR Welfare, Chapter 15. The Elder and Dependent Adult Abuse Prevention Act, § 463. Provision of instructional materials regarding elder and dependent adult abuse and neglect, Copyright © 2016 Office of the Code Revisor, Legislature of the Virgin Islands
... Health shall provide organizations with instructional materials regarding elder and dependent adult abuse and neglect and their obligation to report under this chapter. At a minimum, the instructional materials must include the following: (a) An explanation of elder or dependent adult abuse and neglect, as defined in this chapter; (b) Information on how to recognize potential elder or dependent adult abuse and neglect; (c) Information on how reports of known or suspected abuse and neglect are investigated; and (d) Instructions on how to report known or suspected incidents of abuse and neglect, including the appropriate telephone numbers to call and the types of information that would assist with the investigation of the report.
6. 34 V.I.C. § 458, (2016), TITLE THIRTY-FOUR Welfare, Chapter 15. The Elder and Dependent Adult Abuse Prevention Act, § 458. Immunity from liability of persons authorized to report abuse; attorney costs, Copyright © 2016 Office of the Code Revisor, Legislature of the Virgin Islands
... a local law enforcement agency is not civilly or criminally liable for any report required or authorized by this chapter. (b) Any other person reporting a known or suspected instance of elder or dependent adult abuse does not incur civil or criminal liability as a result of any report authorized by this chapter, unless it can be proven that a false report was made and the person knew that the report was false. (c) A care custodian, clergy member, health practitioner, or an employee of the ...
... a claim for reasonable attorney's fees incurred in any action against that person on the basis of making a report required or authorized by this chapter, if the court has dismissed the action to have the other party incur such ...
7. 34 V.I.C. § 464, (2016), TITLE THIRTY-FOUR Welfare, Chapter 15. The Elder and Dependent Adult Abuse Prevention Act, § 464. Forms for written abuse reports; contents, Copyright © 2016 Office of the Code Revisor, Legislature of the Virgin Islands
(a) (1) The written abuse reports required for the reporting of abuse, as defined in this chapter, must be submitted on forms adopted by the Department of Human ...
... distribute these reporting forms. The reporting form may also be used for documenting the telephone report of a known or suspected instances of abuse of an elder or dependent adult by the Department of Human Services, ombudsman program, and local ...
... must contain all of the following items: (A) The name, address, telephone number, and occupation of the person reporting; (B) The name and address of the victim; (C) The date, time, and place of the incident; ( ... ... connection to the victim. (b) (1) Each district of the Department Human Services shall report to the Commissioner of the Department of Human Services monthly on the reports received under to this chapter. Thereports must be made on forms adopted by the Department. The information reported must include, but must not be limited to, the number of incidents of abuse, the number of persons abused, the type of abusesustained, and the actions taken on the reports. For purposes of these reports, sexual abuse must be reported separately from physical abuse. (2) The department shall refer to the Department of Health monthly data summaries of the reports of elder or dependent adult abuse, neglect, abandonment, isolation, and financial abuse, and other abuse it receives from district adult protective services agencies.
8. 5 V.I.C. § 2540, (2016), TITLE FIVE Judicial Procedure, Subtitle 2 Family Division Procedure, Chapter 201. Family Division of the Superior Court, Subchapter IV. Abuse and Neglect Matters, § 2540. Confidentiality of records, Copyright © 2016 Office of the Code Revisor, Legislature of the Virgin Islands
(a) In order to protect the rights of the child and his parent or guardian, all records concerning reports of child abuse, sexual abuse or neglect, made to the government of the Virgin Islands and all records generated as a result of such reports, shall be confidential, except as specifically provided by this subchapter. Any person who willfully permits, assists or encourages the release of information contained in such reports or records to persons or agencies not permitted by this section to have access, shall be guilty of a misdemeanor and ... ... more than $ 500 or imprisoned not more than one year or both. (b) No person, official or agency shall have access to such records unless for the express purpose of acting pursuant to this subchapter. Persons permitted access include: (1) The Department of Social Welfare and its legal
representative; (2) The U.S. Virgin Islands Police Department (V.I.P.D.) when investigating a report of known or suspected child abuse, sexual abuse or neglect; (3) A physician who has before him a child he reasonably suspects may have been abused or neglected; (4) A person a child in emergency temporary custody under section 2544 of this chapter, but only when such person has before him a child he reasonably suspects may have been abused or neglected and such person requires the information in the report legally authorized to place or record to determine whether or not to place the child in emergency temporary custody; (5) Any ... ... care for, treat or supervise a child who is the subject of a record, or other person responsible for the child's welfare; (6) Any person who is the subject of a report and his legal representative, or if such person is a child, the child's guardian ad litem, parent, guardian or other person responsible for his welfare; and (7) A court, upon finding that access to such record ... ... disclosure of the information contained therein is necessary for the resolution of an issue pending before it. (8) Any person appointed to a case under a Court Appointed Special Advocates (CASA) Program, as provided under section 2555, of this chapter. (c) A person given access to the names and other identifying information concerning the subjects of the report, except the subject of the report, shall not divulge or make public such identifying information.
9. 34 V.I.C. § 456, (2016), TITLE THIRTY-FOUR Welfare, Chapter 15. The Elder and Dependent Adult Abuse Prevention Act, § 456. Disclosure; penalties, Copyright © 2016 Office of the Code Revisor, Legislature of the Virgin Islands
(a) The reports required by this chapter are confidential and may be disclosed only as provided in this section. Any ...
... 500 or not less than six month's imprisonment, or both such fine and imprisonment. (b)
Reports of suspected elder or dependent adult
abuse and
information contained in the reports
may be disclosed only to the following: (1)
Persons or agencies to which disclosure of information or the
identity of the reporting party is permitted; (2) (A) Multidisciplinary ...
... may disclose to one another information and records that are relevant to the prevention, identification, or treatment of
abuse of elder or dependent
adults. (B) Any personnel of the multidisciplinary team or agency who receives information under to this chapter, is under the same obligations and
subject to the same confidentiality penalties as the person
disclosing or providing that information. The information obtained must be maintained in a manner
that ...
... confidentiality rights. (c) (1) Whenever this chapter requires the Department Human Services to report to a law enforcement agency, the law enforcement agency shall, immediately upon request, provide a copy of its investigative report concerning the reported matter to that district of the Department Human Services. (2) Whenever this chapter requires a law enforcement agency to report to the Department Human Services, the Department Human Services shall, immediately upon request, provide to that law enforcement agency a copy of its investigative report concerning the reported matter. (d) This section may not be construed to allow disclosure of any investigative reports or records relevant to the reports if the disclosure would be prohibited by any other provision of territorial or federal law.
Dependent Adult Abuse Prevention Act, § 467. Statement as to knowledge of compliance with reporting requirements, Copyright © 2016 Office of the Code Revisor, Legislature of the Virgin Islands
(a) Any person who enters into employment on or after January 1, 2009, as a care custodian, clergy ...
... sign a statement on a form provided by the prospective employer, to the effect that the person has knowledge of this chapter and will comply with its provisions. Employers shall provide a copy of this chapter to their employees. The statement must inform the employee that the employee is a mandated reporter and inform the employee of their reporting obligations under this chapter. The employer shall retain the signed statement. (b) Agencies or facilities that employ persons who were employed prior to January 1, 2009, and who are required to make reports pursuant to this chapter, shall inform those employees of their responsibility to make reports by delivering to them a copy of the statement specified in subsection (a). (c) On and after January 1, 2009, when a person is issued a license or certificate to engage in a profession or occupation the members of which are required to make a report pursuant to this chapter, the Department issuing the license or certificate shall-- (1) send to the person a statement substantially similar to the one contained in subsection (a) at the same time that it transmits to the person the document indicating licensure or certification;
or (2) cause the required statement to be printed on all application ...
... c), are the full extent of the employer's duty under this section. The failure of any employee or other person associated with the employer to report abuse of elders and dependent adults or otherwise meet the requirements of this chapter is the sole responsibility of that person. The employer or facility incurs no civil or other liability for the failure of these persons to comply with the requirements of this chapter.
§ 2534. Reporting procedures
(a) Reports of child abuse, sexual abuse or neglect made pursuant to this subchapter shall be made immediately by telephone or otherwise to the U.S. Virgin Islands Police Department (V.I.P.D.) or to the Department of Social Welfare. The U.S. Virgin Islands Police Department (V.I.P.D.) shall relay such reports to the Department of Social Welfare immediately or, at the latest, at the commencement of the next regular office hours of the Department of Social Welfare. At the request of the Department of Social Welfare, an oral report shall be followed by a written report within 48 hours.
(b) To the extent possible, such reports shall include the following information: the names and addresses of the child and his parents or other persons responsible for his care; the child's age and sex; the nature and extent of the child's injuries, sexual abuse or neglect to the child or any other child in the same home; the name and address of the person responsible for the injuries, sexual abuse or neglect, the family composition, the source of the report, including the name of the person making the report, his occupation and his address; any action taken by the reporting source, including the taking of X-rays or color photographs or filing for temporary custody; and any other information that the person making the report believes may further the purpose of this subchapter.
HISTORY: --Added Sept. 24, 1983, No. 4855, § 2, Sess. L. 1983, p. 173; amended June 15, 1984, No. 4964, § 1(b), Sess. L. 1984, p. 177.
§ 458. Immunity from liability of persons authorized to report abuse; attorney costs
(a) A care custodian, clergy member, health practitioner, or employee of the Department of Human Services or a local law enforcement agency is not civilly or criminally liable for any report required or authorized by this chapter.
(b) Any other person reporting a known or suspected instance of elder or dependent adult abuse does not incur civil or criminal liability as a result of any report authorized by this chapter, unless it can be proven that a false report was made and the person knew that the report was false.
(c) A care custodian, clergy member, health practitioner, or an employee of the Department Human Services or a local law enforcement agency may present to the Department of Human Services a claim for reasonable attorney's fees incurred in any action against that person on the basis of making a report required or authorized by this chapter, if the court has dismissed the action to have the other party incur such costs when assessed. The Department of Human Services shall allow the claim if the requirements of this chapter are met, and the claim must be paid from an appropriation from the Public Assistance Fund, established in 34 V.I.C. § 14. Attorneys' fees awarded pursuant to this section may not exceed an hourly rate greater than allowed under 5 V.I.C., § 3503(b) at the time the award is made and may not exceed an aggregate amount of $ 10,000. This subsection does not apply if a public entity has provided for the defense of the action.
HISTORY: --Added May 14, 2008, No. 7002, § 1, Sess. L. 2008, pp. 100, 101.
§ 2538. Abrogation of privileged communications
The privileged quality of communications between husband and wife and between any professional person and his patient or his client, except that between attorney and client, is hereby abrogated in situations involving alleged child abuse, sexual abuse or neglect. Such privileged communications, excluding those of attorney and client, shall not constitute grounds for failure to report as required or permitted by this subchapter, or to give or accept evidence in any judicial proceedings relating to child abuse, sexual abuse or neglect.
HISTORY: --Added Sept. 24, 1983, No. 4855, § 2, Sess. L. 1983, p. 175.
§ 2539. Failure to report
Any person, official or institution required by this subchapter to report a case of alleged child abuse, sexual abuse or neglect, or to perform any other act, who knowingly fails to do so, shall be guilty of a misdemeanor and shall be fined not more than $ 500 or imprisoned not more than one year, or both.
HISTORY: --Added Sept. 24, 1983, No. 4855, § 2, Sess. L. 1983, p. 176.
§ 2540. Confidentiality of records
(a) In order to protect the rights of the child and his parent or guardian, all records concerning reports of child abuse, sexual abuse or neglect, made to the government of the Virgin Islands and all records generated as a result of such reports, shall be confidential, except as specifically provided by this subchapter. Any person who willfully permits, assists or encourages the release of information contained in such reports or records to persons or agencies not permitted by this section to have access, shall be guilty of a misdemeanor and shall be fined not more than $ 500 or imprisoned not more than one year or both.
(b) No person, official or agency shall have access to such records unless for the express purpose of acting pursuant to this subchapter. Persons permitted access include:
(1) The Department of Social Welfare and its legal representative;
(2) The U.S. Virgin Islands Police Department (V.I.P.D.) when investigating a report of known or suspected child abuse, sexual abuse or neglect;
(3) A physician who has before him a child he reasonably suspects may have been abused or neglected;
(4) A person legally authorized to place a child in emergency temporary custody under section 2544 of this chapter, but only when such person has before him a child he reasonably suspects may have been abused or neglected and such person requires the information in the report or record to determine whether or not to place the child in emergency temporary custody;
(5) Any agency with legal responsibility or authorization to care for, treat or supervise a child who is the subject of a record, or other person responsible for the child's welfare;
(6) Any person who is the subject of a report and his legal representative, or if such person is a child, the child's guardian ad litem, parent, guardian or other person responsible for his welfare; and
(7) A court, upon finding that access to such record may be necessary for the determination of an issue before it; but such access shall be limited to in camera inspection, unless the court determines that public disclosure of the information contained therein is necessary for the resolution of an issue pending before it.
(8) Any person appointed to a case under a Court Appointed Special Advocates (CASA) Program, as provided under section 2555, of this chapter.
(c) A person given access to the names and other identifying information concerning the subjects of the report, except the subject of the report, shall not divulge or make public such identifying information.
HISTORY: --Added Sept. 24, 1983, No. 4855, § 2, Sess. L. 1983, p. 176; amended June 15, 1984, No. 4964, § 1(b), Sess. L. 1984, p. 177; Feb. 1, 2001, No. 6391, § 2(k)(1), Sess. L. 2000, p. 496.
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FIRST SECTION
Application no. 56360/07 Natalya Aleksandrovna VOLKOVA against Russia lodged on 29 November 2007
STATEMENT OF FACTS
The applicant, Ms Natalya Aleksandrovna Volkova, is a Russian national, who was born in 1987 and lived in Voronezh prior to her arrest. She is represented before the Court by Mr V. Sivchenko and Mr V. Anisimov, lawyers practising in the Moscow Region.
The facts of the case, as submitted by the applicant, may be summarised as follows.
A. The applicant's arrest and detention
In the night on 14 July 2007 the applicant, together with her friend Ms B., travelled to Moscow by car. At about 3.40 a.m. the police stopped the car; two men from the narcotics unit approached the car and asked the passengers to step out and produce their identity documents and luggage for inspection. One of the officers opened the sports bag which, according to the applicant, her friend had asked her to take to another friend in Moscow, and found a black plastic bag. The applicant stated that she was not aware of its contents. The officers then put the black bag into the truck of the police car and took the applicant and B. to the premises of the narcotics unit.
The applicant and B. were taken to different offices and interviewed. In the morning she was brought to another office, in which one female officer, a forensic expert and two individuals who were introduced as attesting witnesses were present. The applicant was told to open the black bag and show its contents. In the bag, there were four plastic bags containing yellow and green herb and cash money. At 8.15 a.m. the police drafted the report
on the seizure of objects and substances. The expert later determined that the herb was marijuana having a total weight of almost 3 kg.
At 6 p.m. a senior investigator of the narcotics unit instituted criminal proceedings against the applicant and B. on suspicion of an attempted largescale sale of drugs.
At 8.15 p.m. the investigator compiled the arrest record. According to the record, the applicant was arrested at 7.50 p.m. on 14 July 2007.
On 15 July 2007 the applicant was formally charged and the investigator applied to a court for a detention order.
The detention hearing before the Zyuzinskiy District Court of Moscow began at 7.15 p.m. on 16 July 2007 and lasted for twenty minutes. Counsel for the applicant submitted to the District Court that in view of the actual time of the applicant's detention, the maximum statutory period of fortyeight hours had already expired. However, the court did not give heed to that argument and ordered that the applicant be detained on remand because the gravity of the charges against her.
Counsel lodged an appeal with the Moscow City Court, complaining in particular about the unlawfulness of the applicant's detention in excess of forty-eight hours without a judicial decision.
On 24 and 27 August 2007 the City Court heard the appeal and dismissed it in a summary fashion, noting that "the pre-trial investigation authorities did not commit any substantial breaches of the rules of criminal procedure".
B. Trial
The case against the applicant was referred for trial to the Babushkinskiy District Court of Moscow.
The defence believed that the attesting witnesses who had been present during the opening of the bag were in fact employees of the narcotics unit rather than independent observers as required by law. Both of those witnesses – Ms P. and Ms A. – did not appear before the trial court. Instead, a court bailiff submitted identically worded reports about his unsuccessful attempts to ensure their attendance. The reports were dated 20, 24, 27 and 31 March 2008 and contained the same wording that the witness could not be reached on the phone, that no one opened the door at her residence and that unidentified neighbours told the bailiff that they had not seen her for a long time.
Counsel for the applicant requested the court to obtain the visitors journal from the reception of the narcotics unit. Since the unit was located within a security perimeter, all civilian visitors were to be recorded in a journal. The trial court refused the motion, without giving any reasons. It further held that there existed "exceptional circumstances" for the absence of witnesses Ms P. and Ms A. and allowed their pre-trial statements to be read out, overriding the objections from the defence.
Likewise, the trial court authorised the reading-out of the pre-trial statement of Mr F., the driver of the car, of which the applicant and B. had been passengers. The bailiff submitted a similarly worded reports to the effect that Mr F. was unavailable on the telephone and at his residence.
By judgment of 8 April 2008, the District Court found the applicant and B. guilty as charged and sentenced each of them to eight years' imprisonment in a high-security correctional colony. It held in particular that the applicant's claim that she ignored the presence of marijuana in her friend's bag was rebutted with the report on the seizure of material of 14 July 2007 and the statements by the witnesses Ms P. and Ms A.
On 28 July 2008 the Moscow City Court examined and rejected her appeal against the conviction.
COMPLAINTS
The applicant complains under Article 5 §§ 1, 3 and 4 of the Convention that her arrest was not based on a "reasonable suspicion", that the maximum statutory time-limit for detention without a judicial decision was exceeded, and that the appeal proceedings took too long.
The applicant complains under Article 6 §§ 1 and 3 (d) of the Convention that she could not obtain the attendance and examination of the witnesses Ms P., Ms A. and Mr F.
4
QUESTIONS TO THE PARTIES
1. Was there a violation of Article 5 § 1 of the Convention, having regard to the fact that the applicant's detention was unrecorded for a period of approximately sixteen hours between 3.40 a.m. and 7.50 p.m. on 14 July 2007?
2. Was it compatible with Article 5 § 3 of the Convention that the applicant was brought before a judge approximately two days and sixteen hours after her arrest?
3. Was it compatible with Article 5 § 4 of the Convention that it took the Moscow City Court more than thirty days to examine the appeal against the arrest warrant?
4. Was there a violation of Article 6 §§ 1 and 3 (d) of the Convention on account of the trial court's failure to ensure the attendance and examination of witnesses A., P. and F. in the criminal proceedings against the applicant? Why did the courts refuse to obtain the information contained in the visitors journal of the narcotics unit?
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For Year 2 & 3 Students Only
You may apply through IMDA's Appointed Lead Agencies listed below. Here's how to apply:
1) Complete the IMDA application form
You may wish to apply through IMDA's Appointed Lead Agencies listed below and note the following steps:
2) Take the form to i@Central (Block A, Level 1) to get it endorsed to show that you are an NYP student (page 4 of the form)
4) The lead agency will inform you of the outcome by post
3) Mail your application form together with the required supporting documents (found on page 6 of the form) to the relevant lead agency
Click below for the Application Forms:
CDAC-IMDA Application Form Mendaki-IMDA Application Form SINDA-IMDA Application Form Eurasian-IMDA Application Form
|
<urn:uuid:be93028f-bb80-4bc8-b329-0745584d3e45>
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CC-MAIN-2019-22
|
https://www.nyp.edu.sg/content/dam/nyp/admissions/full-time-diploma/financial-matters-financial-assistance/foryear2_3.pdf
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2019-05-26T22:06:38Z
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PERMACULTURE INTERNATIONAL LIMITED ACN 003 386 258
(trading as Permaculture Australia)
17 Gray Court, Acton Park Tas 7170, AUSTRALIA
http://www.permacultureaustralia.org.au
ANNUAL GENERAL MEETING
Tuesday 13th April 2021, 5.00pm AEST
at the Australasian Permaculture Convergence, Camp Kindilan, Cnr. Days Rd. and German Church Rd. Redland Bay, QLD 4165 or via Zoom*
MINUTES
1. Welcome and Introductions – Virginia Solomon
2. Appointment of AGM Chairperson
Robyn Francis appointed as AGM Chairperson
3. Attendance
Members (self declared) In Attendance:
Robyn Francis (Chairperson)
Dick Copeman (Returning Officer)
Wendy Marchment (AGM Minutes and Board Secretary)
Virginia Solomon (Chair of the Board)
Donna Morawiak (Board Treasurer)
Kym Blechynden (PA Paid Position)
Kiran Charles (PA Paid Position)
Members Present Online:
John Champagne
John McKenzie
Greg Rodwell
Non-Members (self declared) In Attendance:
Francine Chanovre
Jesika Dawnn
Bron Elliott
Paul Grace
Timothy Greenwood
Ruth Harvey
Paul Kelly
Alexandria
McClintock
Rich Pay
Wil Seiler
Keryln Seiler
Megan Seiler
Lizzy Smith
Apologies: None
Proxies: None
4. Minutes of Previous Meeting – 2020 AGM
Moved that the 2020 AGM Minutes be accepted: Virginia Solomon
Second: Donna Morawiak
Carried
5. 2020 Annual Report
The Chair of the Board and Treasurer spoke to the report.
Acknowledgement and thanks was given to the paid positions and others involved with the impressive 'new look' Annual Report.
The Treasurer advised, as per the financials presented, the company is currently in a sound financial position. During the previous year Permaculture Australia (PA) was the fortunate beneficiary of a Federal Government grant and JobKeeeper, both associated with the COVID pandemic. However, with a view to the future and a more stable income, the Board has looked at different ideas in regards to diversification of income streams to reduce risk and support paid positions, ideally on an ongoing basis rather than the current short-term contractual arrangements.
Motion put - To receive and adopt the 2020 Annual Report containing:
a. The 2020 Directors Report and Financial Statements
b. Balance Sheets and Statement of Income and Expenses for 2020
c. Reviewer's Report thereon.
Move: Virginia Solomon Second: Donna Morawiak Carried
6. Auditor Appointment
PA is required to have an auditor identified.
Motion: That Tony Ager of TST Audit and Assurance Services, St Kilda Road Melbourne, be appointed auditor.
Move: Donna Morawiak Second: Wendy Marchment Carried
It was explained that as small charity under the ACNC we are not required to conduct an audit annually. A review (lesser type of audit) costs about $1200 currently which has been and is, a large amount in PA's budget. The Board consulted with the Accountant and Auditor, both of whom confirmed that an annual audit is not required. The Accountant confirmed that PA already has many systems in place to reduce the risks covered by the review. The main risks to PA were viewed as being theft and non compliance with regulatory and constitutional requirements. The Board agreed to maintaining the current financial checks and balances in place and review them regularly for improvements, and conduct a review when it's deemed necessary.
Changes underway post the ACNC 2018 Review mean that all charity reporting is transitioning to the ACNC, which for PA means there will be no separate REO reporting required in the near future as per the implementation of the recommendations to streamline reporting for charities.
7. Special Resolutions
Consistent with the advice that audits are not required annually, and to update financial clauses to be in-line with the relevant ACNC Constitution template, the following special resolutions were put to the meeting.
Motion: That the Notice clause 7 in the Memorandum of Association be changed to:
The company must make and keep written financial records that:
(a) correctly record and explain its transactions and financial position and performance, and
(b) enable true and fair financial statements to be prepared and to be audited.
54. The Directors shall cause proper accounting and other records to be kept and before or at the annual general meeting, the directors must give information to the members on the company's activities and finances during the period since the last annual general meeting
55. A director has a right of access to the financial records of the company at all reasonable times.
56. A properly qualified Auditor or Auditors shall be appointed.
Move: Donna Morawiak Second: Wendy Marchment Carried
Motion: That Clauses 54, 55 and 56 in the Articles of Association be changed to:
Move: Donna Morawiak Second: Wendy Marchment Carried
8. Permaculture International Public Fund Management Committee
Permaculture International is a registered environmental organisation (REO) with deductible gift recipient status. This requires the appointment of a Public Fund Management Committee as per the REO rules and guidelines. The responsible persons on
the Public Fund Management Committee during 2020, who are all members of the Permafund team were:
* Christine Carroll
* John Champagne
* John McKenzie
All three are continuing as responsible persons. Their long standing contribution as responsible persons is appreciated and acknowledged.
Appreciation was expressed by those present.
Given the financial reporting requirements to REO and consistent with the Accountant being a responsible person on the ACNC register, the Accountant Helen Cowhan was nominated by the Board to be added as a responsible person, and has been confirmed by the REO.
The Permaculture Australia (PA) website was updated last year, including reflecting that donations are sought for Permafund (to support overseas microgrants) and for PA more generally, noting that all donations to PA are tax deductible. General donations to PA support various activities and initiatives within PA, including necessary administration and compliance activities.
It was advised that PA has been the grateful recipient of a few bequests over the years that have assisted enormously. Whilst not tax deductible, they are a different aspect of 'donations' and the PA community is encouraged to consider a bequest in their will. Even small amounts can and do make a big difference. Information about bequests can be found on PA's website.
9. Election of Board of Directors (7 positions)
Returning officer - Dick Copeman
Board positions declared vacant
Nominations for the Board were received as follows:
Wendy Marchment Move: Virginia Solomon Second: Donna Morawiak
Donna Morawiak
Move: Virginia Solomon Second: Wendy Marchment
Greg Rodwell
Move: Virginia Solomon Second: Wendy Marchment
Jed Walker
Move: Kym Blechynden Second: Donna Morawiak
Sophie Thompson
Move: Donna Morawiak Second: Wendy Marchment
Returning officer declared the above persons duly elected
Those present congratulated the people elected to the Board.
10. Other Business
A vote of thanks was expressed for the huge contribution and tireless work of outgoing Board member and Chair for the past 6 years Virginia Solomon.
11. Chair closed meeting 5:50pm
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CC-MAIN-2022-21
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https://permacultureaustralia.org.au/wp-content/uploads/2022/04/2021-PA-AGM-Minutes.pdf
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2022-05-23T03:08:02+00:00
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Liquid Argon Molecular Dynamics
Dr. Axel Kohlmeyer
Senior Scientific Computing Expert
Information and Telecommunication Section The Abdus Salam International Centre for Theoretical Physics http://sites.google.com/site/akohlmey/
[email protected]
Workshop on Computer Programming and Advanced Tools for Scientific Research Work
Contents of this Show
0) Overture: The physics of the model
1) First Act: Writing and optimizing a serial code
2) Intermezzo: Improve scaling with system size
3) Second Act: MPI parallelization
4) Third Act: OpenMP parallelization
5) Finale: Hybrid MPI/OpenMP parallelization
6) Encore: Lessons learned
7) ...and now for something completely different
2
0) The Model for Liquid Argon
* Cubic box of particles with a Lennard-Jones type pairwise additive interaction potential
* Periodic boundary conditions to avoid surface effects
3
Newton's Laws of Motion
* We consider our particles to be classical objects so Newton's laws of motion apply:
1. In absence of a force a body rests or moves in a straight line with constant velocity
2. A body experiencing a force F experiences an acceleration a related to F by F = ma, where m is the mass of the body.
3. Whenever a first body exerts a force F on a second body, the second body exerts a force −F on the first body (Bonus Law)
4
Velocity-Verlet Algorithm
* The Velocity-Verlet algorithm is used to propagate positions and velocities of the atoms
L. Verlet, Phys. Rev. 159, 98 (1967); Phys. Rev. 165, 201 (1967).
5
What Do We Need to Program?
1. Read in parameters and initial status and compute what is missing (e.g. accelerations)
2. Integrate Equations of motion with Velocity Verlet for a given number of steps
a) Propagate all velocities for half a step
b) Propagate all positions for a full step
c) Compute forces on all atoms to get accelerations
d) Propagate all velocities for half a step
e) Output intermediate results, if needed
6
1) Initial Serial Code: Velocity Verlet
```
void velverlet(mdsys_t *sys) { for (int i=0; i<sys->natoms; ++i) { sys->vx[i] += 0.5*sys->dt / mvsq2e * sys->fx[i] / sys->mass; sys->vy[i] += 0.5*sys->dt / mvsq2e * sys->fy[i] / sys->mass; sys->vz[i] += 0.5*sys->dt / mvsq2e * sys->fz[i] / sys->mass; sys->rx[i] += sys->dt*sys->vx[i]; sys->ry[i] += sys->dt*sys->vy[i]; sys->rz[i] += sys->dt*sys->vz[i]; } force(sys); for (int i=0; i<sys->natoms; ++i) { sys->vx[i] += 0.5*sys->dt / mvsq2e * sys->fx[i] / sys->mass; sys->vy[i] += 0.5*sys->dt / mvsq2e * sys->fy[i] / sys->mass; sys->vz[i] += 0.5*sys->dt / mvsq2e * sys->fz[i] / sys->mass; } }
```
7
Initial Code: Force Calculation
```
for(i=0; i < (sys->natoms); ++i) { for(j=0; j < (sys->natoms); ++j) { if (i==j) continue;
```
```
{ 4 [−12 r ij 13 6 r ij 7 ] , r ij r c 0 , r ij ≥r c double pbc(double x, const double boxby2) { while (x > boxby2) x -= boxby2 + boxby2; while (x < -boxby2) x += boxby2 + boxby2; return x; }
```
```
rx=pbc(sys->rx[i] - sys->rx[j], 0.5*sys->box); ry=pbc(sys->ry[i] - sys->ry[j], 0.5*sys->box); rz=pbc(sys->rz[i] - sys->rz[j], 0.5*sys->box); r = sqrt(rx*rx + ry*ry + rz*rz);
```
Compute distance between atoms i & j
```
if (r < sys->rcut) { Compute energy and force
```
```
ffac = -4.0*sys->epsilon*(-12.0*pow(sys->sigma/r,12.0)/r +6*pow(sys->sigma/r,6.0)/r); sys->epot += 0.5*4.0*sys->epsilon*(pow(sys->sigma/r,12.0) -pow(sys->sigma/r,6.0)); sys->fx[i] += rx/r*ffac; sys->fy[i] += ry/r*ffac; sys->fz[i] += rz/r*ffac; }} Add force contribution of atom j on atom i
```
8
How Well Does it Work?
* Compiled with:
gcc o ljmd.x pg ljmd.c lm Test input: 108 atoms, 10000 steps: 49s Let us get a profile (using gprof):
9
Step One: Compiler Optimization
* Use of pbc() is convenient, but costs 25% time => compiling with -O3 should inline it
* Loops should be unrolled for superscalar CPUs => compiling with -O2 or -O3 should do it for us Time now: 39s (1.3x faster) Only a bit faster than 49s
* Now try more aggressive optimization options: -ffast-math -fexpensive-optimizations -msse3
Time now: 10s (4.9x faster) Much better!
* Compare to LAMMPS: 3.6s => need to do more
Now Modify the Code
* Use physics! Newton's 3 rd law: F ij = -F ji
```
for(i=0; i < (sys>natoms)1; ++i) { for(j=i+1; j < (sys>natoms); ++j) { rx=pbc(sys>rx[i] sys>rx[j], 0.5*sys>box); ry=pbc(sys>ry[i] sys>ry[j], 0.5*sys>box); rz=pbc(sys>rz[i] sys>rz[j], 0.5*sys>box); r = sqrt(rx*rx + ry*ry + rz*rz); if (r < sys>rcut) { ffac = 4.0*sys>epsilon*(12.0*pow(sys>sigma/r,12.0)/r +6*pow(sys>sigma/r,6.0)/r); sys>epot += 4.0*sys>epsilon*(pow(sys>sigma/r,12.0) pow(sys>sigma/r,6.0)); sys>fx[i] += rx/r*ffac; sys>fx[j] = rx/r*ffac; sys>fy[i] += ry/r*ffac; sys>fy[j] = ry/r*ffac; sys>fz[i] += rz/r*ffac; sys>fz[j] = rz/r*ffac; }}}
```
Time now: 5.4s (9.0x faster) Another big improvement
More Modifications
* Avoid expensive math: pow(), sqrt(), division
```
c12=4.0*sys>epsilon*pow(sys>sigma,12.0); c6 =4.0*sys>epsilon*pow(sys>sigma, 6.0); rcsq = sys>rcut * sys>rcut; for(i=0; i < (sys>natoms)1; ++i) { for(j=i+1; j < (sys>natoms); ++j) { rx=pbc(sys>rx[i] sys>rx[j], 0.5*sys>box); ry=pbc(sys>ry[i] sys>ry[j], 0.5*sys>box); rz=pbc(sys>rz[i] sys>rz[j], 0.5*sys>box); rsq = rx*rx + ry*ry + rz*rz; if (rsq < rcsq) { double r6,rinv; rinv=1.0/rsq; r6=rinv*rinv*rinv; ffac = (12.0*c12*r6 6.0*c6)*r6*rinv; sys>epot += r6*(c12*r6 c6); sys>fx[i] += rx*ffac; sys>fx[j] = rx*ffac; sys>fy[i] += ry*ffac; sys>fy[j] = ry*ffac; sys>fz[i] += rz*ffac; sys>fz[j] = rz*ffac; }}}
```
=> 108 atoms: 4.0s (12.2x faster)
still worth it
Improvements So Far
* Use the optimal compiler flags => ~5x faster but some of it: inlining, unrolling could be coded
* Use our knowledge of physics => ~2x faster since we need to compute only half the data.
* Use our knowledge of computer hardware => 1.35x faster. (could be more: SSE/AVX) We are within 10% (4s vs. 3.6s) of LAMMPS.
* Try a bigger system: 2916 atoms, 100 steps Our code: 13.3s LAMMPS: 2.7s => Bad scaling with system size
2) Making it Scale with System Size
* Lets look at the algorithm again: We compute all distances between pairs
* But for larger systems not all pairs contribute and our effort is O(N 2 )
* So we need a way to avoid looking at pairs that are too far away
=> Sort atoms into cell lists, which is O(N)
The Cell-List Variant
* At startup build a list of lists to store atom indices for atoms that "belong" to a cell
* Compute a list of pairs between cells which contain atoms within cutoff. Doesn't change!
* During MD sort atoms into cells
* Then loop over list of "close" pairs of cells i and j
* For pair of cells loop over pairs of atoms in them
* Now we have linear scaling with system size at the cost of using more memory and an O(N) sort
Cell List Loop
```
for(i=0; i < sys>npair; ++i) { cell_t *c1, *c2; c1=sys>clist + sys>plist[2*i]; c2=sys>clist + sys>plist[2*i+1]; for (int j=0; j < c1>natoms; ++j) { int ii=c1>idxlist[j]; double rx1=sys>rx[ii]; double ry1=sys>ry[ii]; double rz1=sys>rz[ii]; for(int k=0; k < c2>natoms; ++k) { double rx,ry,rz,rsq; int jj=c2>idxlist[k]; rx=pbc(rx1 sys>rx[jj], boxby2, sys>box); ry=pbc(ry1 sys>ry[jj], boxby2, sys>box); ...
```
* 2916 atom time: 3.4s (4x faster), LAMMPS 2.7s
Scaling with System Size
* Cell list does not help (or hurt) much for small inputs, but is a huge win for larger problems => Lesson: always pay attention to scaling
3) What if optimization is not enough?
* Having linear scaling is nice, but twice the system size is still twice the work and takes twice the time. => Parallelization
* Simple MPI parallelization first
* MPI is "share nothing" (replicated or distributed data)
* Run the same code path with the same data but insert a few MPI calls
– Broadcast positions from rank 0 to all before force()
– Compute forces on different atoms for each rank
– Collect (reduce) forces from all to rank 0 after force()
Replicated Data MPI Version
```
static void force(mdsys_t *sys) { double epot=0.0; azzero(sys->cx,sys->natoms); azzero(sys->cy,sys->natoms); azzero(sys->cz,sys->natoms); MPI_Bcast(sys->rx, sys->natoms, MPI_DOUBLE, 0, sys->mpicomm); MPI_Bcast(sys->ry, sys->natoms, MPI_DOUBLE, 0, sys->mpicomm); MPI_Bcast(sys->rz, sys->natoms, MPI_DOUBLE, 0, sys->mpicomm); for (i=0; i < sys->natoms-1; i += sys->nsize) { ii = i + sys->mpirank; if (ii >= (sys->natoms - 1)) break; for (j=i+1; i < sys->natoms; ++j) { [...] sys->cy[j] -= ry*ffac; sys->cz[j] -= rz*ffac; } } MPI_Reduce(sys->cx, sys->fx, sys->natoms, MPI_DOUBLE, MPI_SUM, 0, sys->mpicomm); MPI_Reduce(sys->cy, sys->fy, sys->natoms, MPI_DOUBLE, MPI_SUM, 0, sys->mpicomm); MPI_Reduce(sys->cz, sys->fz, sys->natoms, MPI_DOUBLE, MPI_SUM, 0, sys->mpicomm); MPI_Reduce(&epot, &sys->epot, 1, MPI_DOUBLE, MPI_SUM, 0, sys->mpicomm); } cx/cy/cz on all nodes; fx/fy/fz on master only
```
* Easy to implement, but lots of communication
Replicated Data Limitations
* Amdahl's Law (we only parallelized the force computation)
* Parallel overhead (grows with system size):
* Broadcast
* Reduction
* Limited scaling
MPI Parallel Efficiency
Workshop on Computer Programming and
Advanced Tools for Scientific Research Work
MPI Parallel Execution Times
4) OpenMP Parallelization
* OpenMP is directive based
=> code (can) work without them
* OpenMP can be added incrementally
* OpenMP only works in shared memory
=> multi-socket nodes, multi-core processors
* OpenMP hides the calls to a threads library => less flexible, but much less programming
* Caution: write access to shared data can easily lead to race conditions
Naive OpenMP Version
```
#if defined(_OPENMP) #pragma omp parallel for default(shared) \ private(i) reduction(+:epot) #endif for(i=0; i < (sys>natoms)1; ++i) { double rx1=sys>rx[i]; double ry1=sys>ry[i]; double rz1=sys>rz[i]; [...] #if defined(_OPENMP) #pragma omp critical #endif { sys>fx[i] += rx*ffac; sys>fy[i] += ry*ffac; sys>fz[i] += rz*ffac; sys>fx[j] = rx*ffac; sys>fy[j] = ry*ffac; sys>fz[j] = rz*ffac; } { sys>fx[i] += rx*ffac; sys>fy[i] += ry*ffac; sys>fz[i] += rz*ffac; sys>fx[j] = rx*ffac; sys>fy[j] = ry*ffac; sys>fz[j] = rz*ffac; } Race condition: "i" will be unique for each thread, but not "j" => multiple threads may write to the same location concurrently Each thread will work on different values of "i" The "critical" directive will let only one thread execute this block at a time Timings (108 atoms): 1 thread: 4.2s 2 threads: 7.1s 4 threads: 7.7s 8 threads: 8.6s
```
OpenMP Improvements
* Use omp atomic to protect one instruction
=> faster, but requires hardware support
=> some speedup, but serial is faster for 108, at 2916 atoms we are often beyond cutoff
* No Newton's 3 rd Law:
=> no race condition
=> better scaling, but we lose 2x serial speed
=> need 8 threads to be faster than atomic
MPI-like Approach with OpenMP
```
#if defined(_OPENMP) #pragma omp parallel reduction(+:epot) #endif { double *fx, *fy, *fz; #if defined(_OPENMP) int tid=omp_get_thread_num(); #else int tid=0; #endif fx=sys>fx + (tid*sys>natoms); azzero(fx,sys>natoms); fy=sys>fy + (tid*sys>natoms); azzero(fy,sys>natoms); fz=sys>fz + (tid*sys>natoms); azzero(fz,sys>natoms); for(int i=0; i < (sys>natoms 1); i += sys>nthreads) { int ii = i + tid; if (ii >= (sys>natoms 1)) break; rx1=sys>rx[ii]; ry1=sys>ry[ii]; rz1=sys>rz[ii]; Thread Id is like MPI rank sys->fx holds storage for one full fx array for each thread => race condition is eliminated.
```
MPI-like Approach with OpenMP (2)
* We need to write our own reduction:
```
#if defined (_OPENMP) #pragma omp barrier #endif i = 1 + (sys>natoms / sys>nthreads); fromidx = tid * i; toidx = fromidx + i; if (toidx > sys>natoms) toidx = sys>natoms; for (i=1; i < sys>nthreads; ++i) { int offs = i*sys>natoms; for (int j=fromidx; j < toidx; ++j) { sys>fx[j] += sys>fx[offs+j]; sys>fy[j] += sys>fy[offs+j]; sys>fz[j] += sys>fz[offs+j]; } } Need to make certain, all threads are done with computing forces Use threads to parallelize the reductions
```
More OpenMP Timings
* The omp parallel region timings 2916: 1T: 103s, 2T: 53s, 4T: 19s, 8T: 10s => better speedup, but serial is faster for 108, at 2916 atoms we are often beyond cutoff
This approach also works with cell lists
* => with 8 threads: 4.1s = 6.8x speedup vs. serial cell list version (28s). That is 62x faster than the first naive serial version 50 100 150 200 250
6) Hybrid OpenMP/MPI Version
* With multi-core nodes, communication between MPI tasks becomes a problem
=> all communication has to us2 one link
=> reduced bandwidth, increased latency
* OpenMP and MPI parallelization are orthogonal and can be used at the same time Caution: don't call MPI from threaded region!
* Parallel region OpenMP version is very similar to MPI version, so that would be easy to merge
Hybrid OpenMP/MPI Kernel
* MPI tasks are like GPU thread blocks
* Need to reduce forces/energies first across threads and then across all MPI tasks
```
[...] incr = sys>mpisize * sys>nthreads; /* self interaction of atoms in cell */ for(n=0; n < sys>ncell; n += incr) { int i,j; const cell_t *c1; i = n + sys>mpirank*sys>nthreads + tid; if (i >= sys>ncell) break; c1=sys>clist + i; for (j=0; j < c1>natoms1; ++j) {
```
[...]
Hybrid OpenMP/MPI Timings
Total Speedup Comparison
What about GPUs?
* GPUs are threading taken to the extreme
* Programming models: CUDA (like C), OpenCL (more explicit but portable across hardware), OpenACC (like OpenMP)
* Need to generate >1000 work units:
=> One (or more) thread(s) per "i atom"
=> good weak scaling, limited strong scaling
* Offload only some kernels (GPU=accelerator) vs. moving entire calculation (CPU=decelerator) => depends on problem size, choice of hardware
Conclusions
* Make sure that you exploit the physics of your problem well => Newton's 3 rd law gives a 2x speedup for free (but interferes with threading!)
* Let the compiler help you (more readable code), but also make it easy to the compiler => unrolling, inlining can be offloaded
* Understand the properties of your hardware and adjust your code to match it
* Best strong scaling on current hardware with hybrid parallelization, e.g. MPI+OpenMP
What Else Can Be Done?
* Vectorization ("the" thing in the 1970s & 1980s)
* MMX/SSE/AVX instructions allow processing of multiple data elements with one instruction (SIMD) => 64/128/256-bit registers for "packed" data
* Since Pentium IV: 128-bit SSE2 unit can be used for double precision floating-point math.
* Recent CPUs support 256-bit AVX and "fused multiply add" (FMA) instructions
* Xeon Phi (and future CPUs) support 512-bit AVX2
* Portability issues: different CPUs support different subsets of the vector instructions.
How to Add Vectorization
* Let the compiler do it:
* On 32-bit need to specify architecture (Pentium IV+) 8 SSE registers supported, SSE2-unit independent of floating-point unit (unlike for MMX/SSE1)
* On 64-bit SSE2 is supported by all hardware includes 16 SSE2 registers instead of 8 in 32-bit
* Vectorization requires 16-byte aligned data; if not possible to tell, compiler will generate slower code (default on x86 is 8-byte alignment!)
* Only addition, subtraction, multiplication, division and (inverse) square root are vectorized
How to Add Vectorization (2)
* Write explicit assembly code ● Write explicit assembly code
* Tedious, difficult, non-portable and requires detailed knowledge of the instruction set and the hardware ● Tedious, difficult, non-portable and requires detailed knowledge of the instruction set and the hardware
* Use compiler "intrinsics" ● Use compiler "intrinsics"
* Available for C/C++, similar to macros ● Available for C/C++, similar to macros
* Portable between Microsoft, Intel, GNU compilers ● Portable between Microsoft, Intel, GNU compilers
* d = a + b * c: for double precision values becomes: ● d = a + b * c: for 2 double precision values becomes:
```
__m128d v1 = _mm_load_sd(&a); __m128d v2 = _mm_load_sd(&b); __m128d v3 = _mm_load_sd(&c); __m128d v4 = _mm_add_sd(v1, _mm_mul_sd(v2,v3)); _mm_store_sd(&d, v4); __m128d v1 = _mm_load_pd(&a); __m128d v2 = _mm_load_pd(&b); __m128d v3 = _mm_load_pd(&c); __m128d v4 = _mm_add_pd(v1, _mm_mul_pd(v2,v3)); _mm_store_pd(&d, v4);
```
Why Worry About Vectorization?
* Vector instructions already in the CPU
=> unused acceleration potential
* Programming model somewhat similar to GPU => optimization strategies that work well on GPUs should be transferable to vectorization
* OpenCL explicitly supports 3 types of hardware GPU, FPGA, and CPU (with vector unit)
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Peter Townsend
Professor of International Social Policy, LSE and Emeritus Professor of Social Policy, University of Bristol
COMPLETE LIST OF PUBLICATIONS 1948–2008
Department of Social Policy, London School of Economics and Political Science and also
Townsend Centre for International Poverty Research, 8 Priory Road, Bristol BS8 1TZ
Printed in Great Britain by Chris Fowler International, London.
Biographical outline
Academic position–2008
Professor of International Social Policy, London School of Economics and Political Science (LSE), 1998– (where he was also Acting Director of the Centre for the Study of Human Rights 2002–03) and Professor Emeritus and Senior Research Fellow in Social Policy, University of Bristol, 1993–.
Educational career
[Following birth in 1928 in Middlesbrough and the family move to London in 1932] Fleet Road Elementary School, London County Council (1935–1939); scholarship to University College School (1939–46). After compulsory national service in the Army (1946–48) he read philosophy (Philosophy, Logic, Ethics and Psychology – then described as the Moral Sciences Tripos) for his BA degree in two years (allowable under war and immediate post-war regulations) at St John's College, Cambridge University (1948–50) and then read Social Anthropology (specialising in the West Indies) there for a further third year (1950–51). He gained a scholarship to the newly founded Free University of Berlin and was a sociology postgraduate student there (1951–52). He became Research Secretary of the social services research section of Political and Economic Planning (the forerunner of the Policy Studies Institute, 1952–54), Research Officer at the Institute of Community Studies (1954–57), and then Research Fellow and Lecturer at the LSE (1957–63). He was one of the first two academic appointees at the new University of Essex in 1963 and was Professor of Sociology there from 1963 until the end of 1981, when he went to Bristol (1982–93). He became Pro-Vice Chancellor, University of Essex (1975–78); Director of the School of Applied Social Studies, University of Bristol (1983–85 and 1988–92). Altogether he served as a Chair or Head of Department at Essex and Bristol for a total of 18 of the 30 years teaching at the two universities. After a spell beforehand of six years teaching and undertaking research at the LSE (1957–63) he returned there in 1998 to teach and do research. He was Acting Director of the Centre for the Study of Human Rights at LSE (2002–03) and was afterwards Chair of the Advisory Board of the Centre until 2007.
He was Michael Harrington Distinguished Visiting Professor of Social Science at City University New York (1991–92). He became Doctor of the University of Essex (honorary degree awarded for university work and services) (1993). He
was later awarded honorary doctorates for contributions to the social sciences, to sociology and to social policy from the University of Teesside (1994), The Open University (1995), the University of Edinburgh (1996), the University of Lincolnshire and Humberside (1997), the University of York (2000), Strathclyde University (2002), the Baptist University of Hong Kong (2005) and the National University of Ireland (2006). In 1999 he was among the first academicians elected to the Academy of Learned Societies for the Social Sciences (now the Academy of Social Sciences). He was elected a Fellow of the British Academy (FBA) in 2004.
Principal non-academic activities
Child Poverty Action Group
Among founding members 1965, Chair 1969–89, Life President 1989–.
Disability Alliance
Founder member (with Alan Walker) 1973–74; Chair 1974–99, President 1999–.
Fabian Society
Member 1947–; Elected Member of Executive Committee 1958–89; Chair 1965–66; Chair of Home Policy, Social Policy and Research Committees for 15 years; Vice President 1989–.
Labour Party
Served on policy sub-committees with small breaks 1955–87, and was appointed to serve on formal Labour government research working parties 1969–70 (mental handicap); 1977–79 (inequalities in health – report of a research group under the Chair Sir Douglas Black).
International agencies
During 1960–90 he served in various capacities for UNESCO, the World Health Organization (WHO) and International Labour Office (ILO). He was consultant to the United Nations (UN) (1993–95) during the preparations for, and at, the World Summit for Social Development at Copenhagen in March 1995; and was a member of a UN Management Development Programme mission to the Republic of Georgia in 1994. Consultant/expert to the European Union (EU) (1998); UNRISD (1999); the Royal Danish Ministry for Foreign Affairs (the Copenhagen Seminars 1997–2001); and UN Division
PETER TOWNSEND • Complete list of publications 1948–2008
for Social Policy (2001). He was a member of a UNICEF research team (2000–04). In the 1990s and early 2000s he undertook cross-national research and administrative assignments for the EU, ILO, the US Institute of Health and the Public Health Department of Harvard University. Many of the activities in the last decade have revolved around the Copenhagen initiative attempting to establish scientific measures of 'absolute' and 'overall' poverty. He became consultant for the ILO and Department for International Development (DfID) during 2005–08, working with colleagues at both LSE and the University of Bristol, preparing a research review of social security, human rights and poverty.
Acknowledgements
Helen Anderson for generous work typesetting and editing earlier editions of this list of publications.
PETER TOWNSEND
LIST OF PUBLICATIONS 1948–2008
These are listed by year, and are classified by 'minor' (usually brief articles); 'paper' (longer articles, broadcasts, lectures); '*paper' (substantial papers, booklets or pamphlets); '**' or '***' (major publications – according to scale). A large number of typescripts, including some for books as well as papers, are not listed below. There are some exceptions, including papers that were reproduced and circulated, say, within a country visited or to all members of an association. Formal lectures and speeches are not listed here, unless they were circulated widely or later published. Book reviews are mostly excluded.
1948
paper 'Old Age and Industry', Varsity, Cambridge, 27 November (an account of the work of Alan Welford and others in the Psychology Laboratory).
minor 'Bertrand Russell Denies Atom War Reports',Varsity, Cambridge,
November (based on an interview with the philosopher).
minor 'Cambridge Takes Lead in Crime Research', Varsity, Cambridge, 4 December.
1949
minor 'Should the Student Marry?', Varsity, Cambridge, 23 April.
minor 'Teaching is Either a Sacrifice or a Vocation',Varsity, Cambridge, 30 April.
minor 'Cambridge Poets Smoulder in their Solitude', Varsity, Cambridge, 21 May.
minor 'Jazz at Cambridge: Soho and Trinity College are Unique for Bongo and Be-bop', Varsity, Cambridge, 11 June.
minor 'Writing in Cambridge is Rich and Vigorous', Varsity, Cambridge, 15 October.
minor 'Experimental Psychologist', Varsity, Cambridge, 22 October (profile of Professor Sir Frederick Bartlett).
minor (with Ruth Townsend) 'Christianity at Cambridge: Where Does it Stand?', Varsity, Cambridge, 26 November.
minor 'Flamboyant Librarian', Varsity, Cambridge, 3 December (profile of C.D. Bicknell).
1950
1951
*paper
(edited with Ruth Townsend)
Varsity Handbook
, Cambridge, 150 pages.
An introduction for new students to the University of Cambridge.
paper
'The Free University of Berlin',
Cambridge Today
, Cambridge.
1952
*** (edited, with an Introduction by E.M. Forster) Cambridge Anthology, London, Hogarth Press, 184 pages (including two short stories by Peter Townsend: 'All Done by Mirrors' and 'The Yellow Balloon').
*paper 'Poverty – Ten Years After Beveridge', Planning, no 344, Political and Economic Planning, London, pp 21–40. This is a review of developments following the publication in the war years of the report on social security by Sir William (later Lord) Beveridge.
*paper 'Social Security and Unemployment in Lancashire', Planning, no 349, Political and Economic Planning, London, pp 113–36. This is based on interviews carried out with unemployed people and visits paid to social security offices during a recession in the cotton industry in 1952.
paper 'Not Specialists Only: The Technical University of Berlin', Times Educational Supplement, 15 February. Written during the tenure of a sociology studentship at the Free University of Berlin.
,
*paper 'Social Security: A General Review', Political and Economic Planning 28 pages. Limited circulation.
1953
*paper 'Cost of the Social Services 1938–1952', Planning, no 354, Political and Economic Planning, London, pp 1–12. This is a review of changes in the costs of the welfare state before and after the war.
*paper 'Schools under Pressure I: The Shortage of Teachers', Planning, no 358, Political and Economic Planning, London, pp 265–78. This paper and the next were written at a time when the large increase in the birth rate after the war was beginning to affect school intakes.
*paper 'Schools under Pressure II: Buildings and Costs', Planning, no 359, Political and Economic Planning, London, pp 281–300.
paper 'Prospect from Five to Ten', 'After the Deluge' and 'Overcrowded Classrooms', series of three articles in The Times and Times Educational Supplement.
1954
*paper 'Providing for Pensions', Planning, no 364, Political and Economic Planning, London, pp 93–116. This was an early attempt to interpret the rapid increase in number of retirement pensioners.
*paper 'Measuring Poverty', British Journal of Sociology, June, pp 130–7. This had been provoked by the earlier work in Lancashire on need among unemployed people and in reviewing the progress made on the implementation of the Beveridge Report. It reflects a lifelong preoccupation with the definition of a family income to meet need.
paper 'Cost of the British Social Services', Social Security Bulletin, US Department of Health, Education and Welfare, Washington, DC, February.
1955
*paper
(with Brian Abel-Smith) New Pensions for the Old, Fabian Research Series, no 171, London. This attempted to break away from the
*paper minimalist thinking about pensions in the Beveridge Report and elsewhere. In some ways the subsequent discussion of national superannuation and, much later, the state earnings-related pension scheme, can be traced back to early statements such as this one.
'The Anxieties of Retirement', Transactions of the Association of Industrial Medical Officers, London. This criticised the empirical basis of a fixed pension age.
*paper
'The Family Life of Old People', The Sociological Review, December, pp 175–95. A short rehearsal of the subsequent book.
1956
minor
'Five Hundred Over Sixty: A Community Survey of Ageing' (Review), Economica.
1957
***
The Family Life of Old People, London, Routledge and Kegan Paul, October, 284 pages. Based primarily on interviews with a random sample of 203 people of pensionable age living in Bethnal Green, London. Second impression 1961, third impression 1969. Revised edition with new concluding chapter 'Postscript 1963' published by Penguin Books in 1963, 331 pages (reprinted 1968, 1970, 1974, 1977). Translated into Japanese and published in Tokyo, 1973 and 1975. The book showed the relevance of kinship networks and relations within the extended family of three and four generations to both membership of community and individual development through the generations. It also showed how state policies conditioned the 'success' or otherwise of ageing. Of special interest are the methods of adapting the family 'tree' to the exposition of the family networks of those alive at any single time, and of inviting respondents to keep diaries. Of special interest to policy development are the arguments for sheltered housing and attendance allowances – both taken up publicly and subsequently introduced by the British government.
** (with Richard Titmuss and Brian Abel-Smith) National Superannuation: Report of a Technical Sub-Committee on the Introduction of a National Superannuation Scheme in Britain, London, Labour Party, 122 pages. Peter Townsend and Brian Abel-Smith were primarily responsible for writing 'The Detailed Provisions of the National Superannuation
Scheme', pp 54–122, with Peter Townsend dealing primarily with Chapter 1 (including passages on women) and Brian Abel-Smith with Chapter 2. The collaboration seemed to work well and with cross-party backing the scheme could have reduced poverty among elderly people for the foreseeable future while consolidating what might be called the psychology of substantial investment in the national economy. The proposal foreshadows proposals put forward on behalf of the government first by R.H.S. Crossman (his bill 'fell' in 1970) and second by Barbara Castle (1974–76) leading to the State Earnings-Related Pension Scheme.
*paper
'Family Relationships: Method and the Study of the Old Person', in The Need for Cross-National Surveys of Old Age, International Association of Gerontology, report of a conference in Copenhagen in October 1956); also in Mens en Maatschappij, Tweemaandel i jka Tijdschrift, Amsterdam; and in Longevita, Milan (with the title 'Metodo per lo studio dell anzio in famiglia'), March.
paper (with Angelo Pagani) 'Il Lavatore in Vecchiaia', Technica ed Organizzazione, May.
paper 'The Right to Work in Old Age', Fabian Journal, London, July, pp 18–24. An illustration of the developing problem of ageism.
paper 'Metodo per lo Studio Dell'Anzio in Famiglia', Longevita, March–April, pp 45–50.
paper 'Contributo allo studio delle relazioni familiari', Longevita, Milan, November, pp 175–80.
minor 'Two Studies of Kinship in London', Case Conference, April, vol 3, no 10, pp 310–11.
minor 'New Pensions for Old', Socialist Commentary, June, pp 7–9.
minor 'The Social Reasons for the Pensions Plan', The Westminster Review, London, August.
1958
*paper 'Sociology and the Relationship Between Man and Wife', Case Conference, London, April. An attempt to relate extended family relationships to both marriage and equal opportunities.
*paper
'A Society for People', MacGibbon and Kee, September, pp 93–120 (long essay contributed to a book of personal declarations entitled Conviction, edited by Norman Mackenzie.) A shortened version also published in the New Statesman, 18 October, pp 523–30.
*paper 'Work and Activity Towards the End of Life', in Report of a European Seminar on the Individual and Social Importance of Activities for the Elderly, New York, UN.
paper 'The Concept of the Extended Family', Longevita, Milan, November. *paper The Home and Welfare Services for the Aged: 1945–1958 and Beyond, report no 379 for the Labour Party's Study Group on Social Security and Old Age, April, 75 pages.
minor 'Welfare Myths', The Spectator, 12 September.
1959
**
(with Brian Rees) The Personal, Family and Social Circumstances of Old People, London, LSE (second and third impressions, 1959), 80 pages. Report of an investigation carried out in England in 1959 to pilot a future cross-national survey of old age.
*paper 'The Extended Family and the State', in Report of the Fourth International Congress of Gerontology, vol III, held in Merano, Italy in July 1957.
*paper 'Social Surveys of Old Age in Great Britain: Historical Retrospect 1945–1958', Bulletin of the World Health Organisation, vol 21, pp 583–91.
paper 'Developing Criteria for Measuring the Social Health of an Ageing Population: Family Relationships', in Report of the Fourth International Congress of Gerontology, Merano, Italy, July 1957.
paper 'The Truce on Inequality', New Statesman, 26 September (an exchange with Harold Wilson). Harold Wilson replied in the following week.
paper 'C.S. Walton', Phoenix, September (a biographical note on the headmaster of University College School).
1960
paper 'Private Homes for the Aged: "I: Too Many Restrictions", and "II: Case for Greater Public Control"', The Times, 17 and 18 May.
paper 'The Institution and the Individual', The Listener, 23 June (third programme broadcast).
minor (with Robert Pinker) 'Residential Care of the Old and Handicapped', Municipal Journal, 14 October.
minor 'How to Build up our Social Services', Tribune, 11 November.
1961
**
(with Caroline Woodroffe) Nursing Homes in England and Wales – A Study of Public Responsibility, National Corporation for the Care of Old People, 72 pages. This study reported the results of a survey of a representative random sample of 227 nursing homes. The social problems of the private ownership and management of residential institutions for vulnerable people are considerable. This research produced results still (ironically) relevant to conditions in comparable institutions at the turn of the 21st century.
*paper
paper minor
'The Development of Health and Welfare Services for Old People, 1946–60, Association of Directors of Welfare Services, July. 'Freedom and Equality', New Statesman, 14 April.
minor
'Survey of Families Living High in New Blocks of Flats', Interim Report in Two to Five in High flats. An Enquiry into Play Provision for Children Aged Two to Five Years Living in High Flats, London, The Housing Centre, May. Although unfortunately only a summary, this early study of the disadvantages of high blocks of flats (carried out by a small team of LSE students) was followed by many others – with the eventual abandonment of tall blocks as suitable accommodation for families. 'A Pioneer Student of Poverty', The Guardian, 28 August (Seebohm Rowntree).
1962
***
*paper
The Last Refuge: A Survey of Residential Institutions and Homes for the Aged in England and Wales, London, Routledge & Kegan Paul, 552 pages. This study investigated a random sample of 180 public, voluntary and private residential institutions in which elderly people lived. There were interviews with chief officers and managers as well as residents. The author stayed and worked in two of the institutions. Among items of interest are the 'inventory' approach to different kinds of residential institutions, the representative sampling of both institutions and their residents, the index of 'incapacity for self-care', and the attempt to represent the argument of the report in a series of photographs. 'The Meaning of Poverty', British Journal of Sociology, September. This reopened and attempted to pursue some of the issues discussed in the 1952 paper.
paper 'The Purpose of the Institution', in C. Tibbitts and W. Donahue (eds) Social and Psychological Aspects of Ageing, Columbia University Press.
minor 'The Meaning of Poverty', New Statesman, 20 April, pp 553–4 (an early, popularised version of the subsequent longer paper in the British Journal of Sociology).
1963
*paper The Family Life of Old People, London, Penguin Books, 311 pages. New paperback edition of 1957 book with new Postscript: 'Moving Towards a General Theory of Family Structure', pp 235–55.
*paper 'A Provisional Measure of Incapacity for Self-Care', in W. Donahue, C. Tibbits, and R.H. Williams (eds) Psychological and Sociological Processes of Ageing: An International Research Seminar.
*paper 'The Argument for Gradually Abandoning Communal Homes for the Aged', International Social Science Journal, vol XV, no 3.
paper 'The Timid and the Bold – An Examination of Plans for Health and Welfare', New Society, 23 May.
paper 'New Directions in Welfare', Hospital and Social Service Journal, May. paper 'The Man Inside: Idealism and Athletics', The Listener, 27 June.
*paper 'Ten Year Plans for Social Services for Old People', Report of the Proceedings of the Welfare Conference 23–24 April 1963, Association of Municipal Corporations, County Councils Association and London County Council, pp 31–41.
paper 'Alternativen einer konstitutionel len Fursorge', Wir Sind Eine Familie, Dokumentation Deutsche Gemeinschaftsaufgaben, 3, SPD, Bonn. The German SPD followed a practice of inviting a few outside 'experts' in certain subjects to give lectures during the annual party conference. This was a tradition attributed to Willy Brandt, who attended.
paper 'Sampling the Populations of Hospitals, Nursing Homes and Residential Institutions', paper presented to an international social science research seminar in Gerontology, Markaryd, Sweden, August. Unpublished but widely circulated.
paper The Family of Three Generations in the United States, Denmark and Britain, Report of an International Social Science Research Seminar in Gerontology, Markaryd, Sweden, August.
minor 'The Shadow of Poverty in the Age of Plenty', The Observer, 24 February. minor 'The Test of Socialism', New Statesman, 19 April.
paper
'The Sources of Poverty', lecture given to College of General Practitioners, 24 November. Circulated to members.
1964
***
The Last Refuge, London, Routledge and Kegan Paul. A special abridged edition in hardback and paperback (250 pages) of the 552-page first edition of 1962. The text is heavily revised to suit the condensation.
*paper 'Family and Kinship in Industrial Society', in P. Halmos (ed) The Development of Industrial Societies, Proceedings of the Conference of the British Sociological Association, April, Sociological Review Monograph, no 8, October.
paper 'The Place of Older People in Different Societies', The Lancet, 18 January, pp 159–61. Full version in Age with a Future, Report of the Sixth International Congress of Gerontology, Copenhagen, 1963, Munksgaard.
paper 'Poverty in Western Countries', Handicapped Families, report of a colloquium organised by the Bureau de Recherches Sociales and held under the auspices of UNESCO, Paris, February.
paper
'Prisoners of Neglect – Psychiatric Hospitals in Britain',
The Observer,
5 April. Summary also in
The Nursing Mirror
, April.
'Illusions and Realities of Community Care', in
Report of the Conference of the Scottish Old People's Welfare Committee
, Edinburgh, 2 April.
'The Sources of Poverty', paper
paper
Journal of the College of General Practitioners minor
'Health: Where the Cupboard is Bare',
1965
***
(with Brian Abel-Smith) The Poor and the Poorest: A New Analysis of the Ministry of Labour's Family Expenditure Surveys of 1953–54 and 1960, London, Bell, 78 pages. This book helped to confirm the continued existence of large-scale poverty, despite the welfare state measures of the war and early post-war years. It therefore represents an early example of the doubts that began to be expressed by scientists and statisticians about the link that was assumed to exist between rising GNP and social progress. The book used minimum government benefit scales to explore the numbers in the population, both in and not in paid employment, whose disposable incomes did not reach, or only barely reached, the minimum. This could be regarded as a de facto definition of poverty by the state, but not as a scientifically derived measure. The.
New Statesman
, 10 April.
book is also an early example of independent secondary analysis of income and expenditure data collected by government departments.
*** (with D. Wedderburn, and with the assistance of Sylvia Korte and Sheila Benson) The Aged in the Welfare State: The Interim Report of a Survey of Persons aged 65 and over in Britain, 1962 and 1963, London Bell, 150 pages. (Peter Townsend is author of Part 1 on Community Care, pp 6–74, the summary, pp 129–34 and Appendix 1, pp 140–3.) This formed part of a more general programme of research (see Old People in Three Industrial Societies, 1968, below).
*paper
'The Effects of Family Structure on the Likelihood of Admission to an Institution in Old Age', in E. Shanas and G. Streib (eds) Social Structure and the Family: Generational Relations, report of a conference on the family at Duke University, Durham, North Carolina, November 1963, Englewood Cliffs, NJ, Prentice-Hall. This demonstrated that small variations in family structure and family organisation were correlated with the likelihood of being admitted to residential institutions.
paper 'The Argument for Comprehensive Schools', Comprehensive Education, Winter; also in E. Hillman (ed) Essays in Local Government Enterprise, vol 3, London, Merlin, 1966, A summary was published in The Guardian, 30 September. This called attention to the evidence, particularly overseas evidence, which showed that the 'pool of ability' was much larger than conventionally assumed.
paper 'The Scale and Meaning of Poverty in Contemporary Western Society', in P. Townsend, J. Berliner, S.M. Miller and E. Clague, Dependency and Poverty, Colloquia 1963–64, The Florence Heller School for Advanced Studies in Social Welfare, Waltham, MA, Brandeis University. minor 'The Fate of the Elderly', The Observer, 18 July.
1966
paper 'The Changing Role of the Older Person in Our Society', Opening Address to the first Canadian Conference of Ageing, Toronto, January, Proceedings. Summary version published in Ontario Housing, 1966.
paper 'Old People in Psychiatric and Geriatric Hospitals, Nursing Homes and Residential Homes', in H. Freeman (ed) Psychiatric Hospital Care, London, Baillère, Tindall and Cassell.
paper 'Foreword', in P. Hunt (ed) Stigma: The Experience of Disability, London, Chapman.
paper 'The Four Generation Family', New Society, 7 July. Reprinted in several readers including B.L. Neugarten, Middle Age and Aging, Chicago, IL, Chicago University Press, 1968.
paper 'Family Relationships of the Aged in the United States, Denmark and Britain', in Proceedings of Seminars 1961–65, Duke University Council of Gerontology.
paper 'How Many Poor? – Labour's Record', Poverty, no 1, Winter.
minor 'Two Million Children in Poverty', Where?, 25 May.
1967
*paper 'Poverty, Socialism and Labour in Power', Fabian Tract, January, 32 pages; also in Socialism and Affluence: Four Fabian Essays, Fabian Society, published as a short book later that year with co-authors Brian AbelSmith, Richard Titmuss and R.H.S. Crossman. Critical of the first two years of Labour government, this is a call for 'a more single-minded and large-scale strategy to achieve greater social equality'.
*paper 'The Disabled in Society', lecture read at the Royal College of Surgeons, 5 May, published by the Greater London Association for the Disabled, 32 pages.
paper 'Policies for Racial Equality', in A. Lester and N. Deakin (eds) Policies for Racial Equality, Fabian Research Series no 262.
paper 'Pensions Not Means Tests for the Disabled', New Society, 28 September.
paper 'Il Nuovo Concetto di Poverta in Riferimento a Societa in Via di Svillupo e a Societa Industrialmente Progredite', Centro Sociale, Anno XIV, N 74– 5. Also as The New Conception of Poverty as Applied to Developing and Advanced Industrial Societies, World Congress of Sociology, Evian, 1966.
paper 'A Government Department of Social Planning', paper read at a government conference on the social services, Lancaster House, London, 2 December. Published in part as 'The Need for a Social Plan', New Society, 14 December, pp 852–5.
paper
'The Disabled Need Help', New Society, 28 September, pp 432–3.
minor
'Means Tests – To What End?', The Guardian, 4 October.
minor
'Mr Wilson's Social Advance', Tribune, 13 October.
1968
*** (with Ethel Shanas, Dorothy Wedderburn, Henning Friis, Paul Milhoj and Jan Stehouwer) Old People in Three Industrial Societies, London and New
York, Routledge & Atherton, 478 pages/ (Peter Townsend was author of Chapter 1, pp 1–17; Chapter 4, pp 71–101, Chapter 5, pp 102–31; Chapter 6, pp 132–76; Chapter 9, pp 258–87; and Chapter 14, pp 424–54.) The methodology was rare. Research teams in the three countries devised and agreed a common questionnaire, which was applied to a random sample of elderly people. For all concerned it was a major exercise. The work was part of a larger research programme. A second report on the elderly in Britain (originally intended to be larger in scale) was published (with Dorothy Wedderburn) as The Aged in the Welfare State, 1965. A third book, with a provisional title Old People in Hospital published, although 400 pages of a draft report were assembled. (with M. Reddin and others) Social Services for All?, London, Fabian Society, 122 pages. (Peter Townsend was responsible for Chapter 1, pp 1–6 and Chapter 10, pp 106–11.)
, with Sheila Benson, was regrettably not finalised and *paper paper 'The Limitations of the Supplementary Benefits Commission', a speech to the Northern Ireland Child Poverty Action Group (CPAG), reproduced in the press, 9 November. paper 'Family Welfare and Seebohm', New Society, 1 August. paper 'The Difficulties of Negative Income Tax', Fabian Tract, no 384. paper 'Problems in the Cross-National Study of Old People in the Family: Segregation Versus Integration', Interdisciplinary Topics in Gerontology, vol 2, Basel, New York, Karger. paper 'Does Selectivity mean a Nation Divided?', Fabian Tract, no 384. paper 'Marx and the Soviet Family', New Statesman, 13 December. minor 'Equal Pay for Children', Sunday Times, 21 September. minor 'The Needs of the Old', New Society, 12 December. minor 'We Cannot Have White Socialism', Tribune, 10 May, speech given at a rally in Oxford in the wake of Enoch Powell's provocative speech on 'race'.
1969
*paper
'Foreword: Social Planning for the Mentally Handicapped', in P. Morris, Put Away: A Sociological Study of Institutions for the Mentally Handicapped, London, Routledge and Kegan Paul. (Peter Townsend's chapter was 23 pages.) The research was financed by the National Society for Mentally Handicapped Children (later Mencap). The foreword summarises the history of attempts to categorise people with
mental disabilities and exclude them from society. It argues 'first, that the accumulating evidence of social influences upon intelligence has weakened if not destroyed the eugenicists' case for social segregation; secondly, that the evidence from other countries, notably the Soviet Union, throws grave doubt on the hospital as the right environment for the care of the subnormal, and finally that the social, occupational and emotional needs of the great majority of the subnormal might be met better within various forms of sheltered family or community care than in existing hospitals and hostels'.
paper 'Miten tutkia Köyhyyttä' ('A Sociologist at Work'), Sosiologia, Finland, 2.
paper 'Needs and Leadership Strategies in the Planning of the Mental Health Services', address at the National Association for Mental Health Annual Conference, 20 February in New Ways with Old Problems, Report of the Proceedings of the Conference, London, NAMH.
paper 'Strategies in Meeting Poverty', concluding paper presented at an international conference on Family Poverty and Social Policy, Manchester, 20 September. Limited circulation.
paper 'The Need for a Development Plan for the Mentally Handicapped', Proceedings of the Conference of the National Society for Mentally Handicapped Children, 12 December, in The Road to Community Care, National Society for Mentally Handicapped Children, 1970.
paper (with R. Brooke and F. Field) A Policy to Establish the Legal Rights of Low Income Families, London, CPAG, 12 pages (a memorandum to the Lord Chancellor).
paper 'The Government's Approach to Social Policy: Devaluation in 1967 and Social Security in 1972', text of address to CPAG, Brighton, 30 September. Limited circulation.
minor 'Unfinished Business: The White Paper on Social Security', The Guardian, 29 January.
minor 'Foreword', in Mental Illness in Four London Boroughs, Psychiatric Rehabilitation Association, London.
minor 'Equal Pay for Children', Sunday Times, 21 September.
minor 'Problems of the Subnormal', Times Educational Supplement, 19 September.
minor 'Critique of the Open Group', New Society, 18 September.
minor 'Social Policy: International Ideas', New Society, 25 September.
minor
'Half a Loaf, Half a Fish: Inequality in Old Age',
Tribune
7 November.
1970
***
(ed) The Concept of Poverty, London, Heinemann Educational Books, 260 pages. (Peter Townsend was author of the Introduction, pp ix–xi; Chapter 1, pp 1–46; and Chapter 5, pp 100–13.) Paperback edition published in 1971. This was intended to prepare the way for a largescale programme of research into poverty. The book pulled together early work on poverty in Europe and the US, and discussed explanations of inequality in first and third worlds and their different experiences of poverty. The conference was planned partly to sharpen and improve the national analysis of poverty in the UK – in relation to the succession of survey research mounted at LSE and Essex from 1964.
*** (with D. Wedderburn) The Aged in the Welfare State, third edition, London, Bell.
** (with others) The Fifth Social Service, London, Fabian Society, 159 pages. (Peter Townsend's contribution, 'The Objectives of the New Local Social Service', pp 7–22.)
*paper 'Revolution in Community Welfare', The Lancet, 5 September, pp 513–15.
*paper 'Family Poverty and Social Policy', CPAG conference, September 1969. Limited circulation.
*paper 'Incomes Policy for Families' (primary authorship, with Frank Field, of policy statement), later published as a 32-page booklet entitled Poverty and the Labour Government, London, CPAG. This argued that 'in many ways the plight of poor families is now worse than when the [Labour] Government took office'. The report provoked a public furore and the evidence was vigorously disputed by government ministers. In appendices in the booklet some of the exchanges between the Minister of State at the Department of Health and Social Security (DHSS) and the joint authors, Frank Field and Peter Townsend, are reproduced.
paper 'Foreword', in Mental Illness in City and Suburb, Psychiatric Rehabilitation Association, London.
paper 'The Future of the Social Services', in Report of a Shotton Hall Conference on the Development of Welfare Services.
paper (with R. Brooke and F. Field) A Policy to Establish the Legal Rights of Low Income Families, London, CPAG, 12 pages (a memorandum to the Lord Chancellor).
paper (with F. Field) 'Poverty and the Labour Government', The Spokesman, Summer.
paper 'The Reorganisation of Social Policy', New Society, 23 October, pp 722–4.
minor 'Poverty in England', The Guardian, 27 May.
minor 'Poverty among Children, the Disabled and the Aged', Poverty, no 14, Spring.
minor 'To Patronise the Poor: The Family Income Supplement Bill', The Guardian, 30 October.
minor 'Our Future Now a Pattern is Set', Evening Standard, 29 October.
minor 'Harold, Can you Spare a Dime?', The Guardian, 27 May.
1971
*paper 'The Problems of Social Growth': (1)The Problem of Inequality series; (2) The Problem of Poverty articles; (3) Under-investment in the social services, The Times, March; (4) Social Planning in the 1970s, pp 9,10,11 and 12.
*paper 'Trends in the Distribution of Resources in the United Kingdom: 1938–1970', paper presented to a conference at LSE on The Distribution of Income, November. This paper was subsequently updated and included as a chapter in Poverty in the United Kingdom, 1979, 65 pages. An improved version of this lengthy paper was embodied in Chapter 4, Poverty in the UK, 1979.
paper (with Tony Atkinson) 'The Advantages of Universal Family Allowances', Poverty, no 16/17, Winter.
paper 'The Fifth Social Service: Alternative Paths of Development', address to the first annual conference of the British Association of Social Workers, Birmingham, 13 February.
paper 'The Political Sociology of Mental Handicap: A Case-Study of a Policy Failure', address to a regional conference of the World Federation for Mental Health on Action for the Retarded, 27 March–1 April, Dublin. Proceedings published by the National Association for Mental Health.
paper 'A Plan to Help the Low Paid: The Reform of Earned Income Relief', Poverty, no 18, Spring.
paper 'Foreword' in D. Bull (ed) Family Poverty, London, Duckworth.
paper 'Criteri di Misurazione e Analisi della Povertà nei Paesi ad Alto e a Basso Reddito', La Rivista di Servizio Sociale (Studi di Scienze Sociali Applicate e di Pianificazione Sociale), Roma.
minor 'Mental Handicap: Need for More Help', Sunday Times, 27 June.
minor 'Human Need in Ulster', New Society, 25 November.
minor
'Poverty', Wyvern, no 71, 26 November.
1972
*** (edited with N. Bosanquet) Labour and Inequality: A Review of Social Policy 1964–1970, London, Fabian Society, 302 pages. (Peter Townsend shared authorship of Chapter 1, pp 5–11 and was sole author of Chapter 6, pp 274–301.)
*paper 'Politics and the Statistics of Poverty', Political Quarterly, 43, no 1, January, pp 103–12. This is an early example of the argument for independent statistical analysis to balance the tendency of government statistical output to be influenced directly and indirectly by ministerial but also 'establishment' or state ideology. DHSS statisticians replied in the following issue.
*paper 'The Needs of the Elderly and the Planning of Hospitals', paper presented at a seminar at the University of Exeter, 2 March in R.W. Canvin and N.G. Pearson (eds) Needs of the Elderly for Health and Welfare Services, University of Exeter, 36 pages.
paper 'The Ageing Worker in the United Kingdom', paper presented to a colloquium of the European Social Research Committee of the International Association of Gerontology, 1–3 April 1971, International Centre of Social Gerontology, Paris.
*paper 'The Scope and Limitations of Means-Tested Social Services in Britain', paper presented to the Manchester Statistical Society, read 20 February, proceedings of The Manchester Statistical Society, pp 1–31.
*paper 'The Older Worker in the United Kingdom', Elderly People Living in Europe, International Centre of Social Gerontology, Paris, pp 154–94.
paper (with D. Wedderburn) Problems of the Aged in Denmark, Britain and the USA, National Diet Library, Tokyo, Japan.
paper 'Policy Strategies for the Vulnerable Minority of the Aged', paper presented to the Royal Society of Medicine, 20 December. Limited circulation.
paper 'Social Policy and Socialism', Fabian Autumn Lecture, Fabian Society. Limited circulation.
paper 'Inequality and the Labour Government', The Listener, 27 April, pp 558–9.
minor 'Foreword', in Mental Illness in a Northern City, Psychiatric Rehabilitation Association, London.
minor
'Green Paper in its Social Context: Implications of the Negative Income Tax Plan', The Times, 23 October.
1973
*** The Social Minority, London, Allen Lane, 319 pages. This collection of papers, articles and chapters illustrates the broader conception of 'minority' favoured by the author. In addition to minority ethnic groups there are those who 'are assigned to a special category or status on account of their appearance, physical condition, manner or speech, their family or residential situation or their position in relation to the labour market, and who are regularly treated as second-class citizens'. They can include older people and people with disabilities, homeless families, social security claimants, one-parent families and even large families.
*paper 'Poverty as Relative Deprivation: Resources and Style of Living', in S.M. Lipset and S.M. Miller (eds) Poverty and Social Stratification.
*paper 'Urban Planning, Slums and Poverty', paper presented to the Royal Institute of British Architects, 25 April 1972.
*paper 'Everyone his Own Home: Inequality in Housing and the Creation of a National Service', Journal of the Royal National Institute of British Architects, January, pp 30–42. This calls attention to the persistence of slum conditions long after new policies have been introduced to eliminate them, and yet the failure even to measure the spatial and other material advantages derived year by year by rich people from those self-same housing policies. The paper argues for a new strategy with three ingredients: '(i) social ownership of rented housing; (ii) the extension to tenants of the rights and privileges of owner-occupiers, and (iii) the development of a system of flat-rate housing allowances for particular housing needs'.
paper 'The Role of Pressure Groups in Social Change', lecture given at the University of Tampere, Finland, 28 March 1972. Limited circulation. Summary published in Finnish.
paper 'The Right to Occupation: A Study of Three Occupational Systems for Old People in Long Stay Hospitals and Residential Homes in Britain', paper presented to the Third International Course on Social Gerontology: Leisure and the Third Age, 16 May 1972, International Centre of Social Gerontology, Paris.
paper 'A Social Policy Needed for Northern Ireland', 14 June 1972 (a memorandum prepared on behalf of CPAG and presented to the Minister of State for Northern Ireland). Limited circulation.
paper 'Enabling the Disabled',The Guardian, 2 May.
minor (with Alan Walker) 'An Aid Scale for Disabled Children',The Times, 23
January.
minor 'The Disabled are the People who Really Need an Incomes Policy', The Times, 10 December.
1974
*paper
'Poverty as Relative Deprivation: Resources and Style of Living', in D. Wedderburn (ed) Poverty, Inequality and Class Structure, Cambridge, Cambridge University Press, pp 15–41. This sets out in some detail the advantages of using 'relative deprivation' as the key concept in formulating a scientific definition of poverty. A longer version of this paper can be found as Chapter 1 in Poverty in the United Kingdom (below, 1979).
*paper 'Inequality and the Health Service', the Sir Geoffrey Vickers Lecture, given at Middlesex Hospital Medical School on 6 February, The Lancet, 15 June, pp 1179–90 (see also 1977 below). This anticipates some of the principal themes and arguments addressed in the Black Report (see 1980 below). 'The [mortality] data are of immense significance... The trend of growing inequality is securely established.'
paper The Failure to House Britain's Aged, London, Help the Aged, 15 pages. paper 'The Social Underdevelopment of Britain', New Statesman, 25 February, pp 283–8. This is a summary account of the failings of policies introduced by the Heath government.
1975
***
Sociology and Social Policy, London, Allen Lane, 371 pages. This collection of papers, articles and chapters develops the relationship between sociology and social planning, embodying structural analysis and the analysis of specific policies. The analysis of policies, and of policy institutions, should, it is argued, lie at the heart of sociological theories of social change. The argument extends to the problems of reorganising the responsibilities of government and local authorities,
as well as professions and social services. Questions of power are a recurrent concern.
*paper
Poverty and Disability: The Case for a Comprehensive Income Scheme for Disabled People, London, Disability Alliance, 20 pages. Primary authorship of this statement, prepared shortly after the foundation of the Disability Alliance and adopted as the basis of the work of the Alliance, July. Much of the work was motivated by three ideas: to interpret and treat disability in terms of functional performance and not origin or medical or administrative category; to define and measure severity; and to compare rigorously severe with less severe disability or non-disability. The consequence may be for scientists as well as professionals and administrators to deal more equitably with physical and mental disability, and more sensitively with people experiencing different degrees of disability.
*** (with Dennis Marsden, David Lee, Anthony McCashin and Phil Holden) The Determinants of Educational Attainment, London, Department of Education and Science (DES), 146 pages (plus 56 pages of questionnaires). Draft report to the DES on the basis of interviews with a sample of 600 schoolboys. The project began in 1969 and was directed by Michael Lane. Among the findings a linear association is demonstrated between 'middle-classness' of a student's extended family (not only parental class) and length of stay in sixth form and higher education. The report was not published, but given limited circulation.
paper 'Problems of Introducing a Guaranteed Maintenance Allowance for OneParent Families', Poverty, no 31, Winter/Spring.
paper 'The Cycle of Deprivation: the History of a Confused Thesis', The Cycle of Deprivation, papers presented to a national study conference at the University of Manchester in 1974, October. This places Sir Keith Joseph's 'cycle of deprivation' in historical context. The theme is regularly revived and the poor impugned in new language.
paper 'The Objectives of the New Local Social Service', in E. Butterworth and R. Holman (eds) Social Welfare in Modern Britain, London, Fontana.
paper (with F. Field) 'A Social Contract for Families', Memorandum to the Chancellor of the Exchequer, November 1974, Poverty Pamphlet 19, London, CPAG, May, 45 pages.
paper (with C. Pond, P. Lewis and A. Walker) Inflation and Low Incomes, London, Fabian Society.
paper 'Inflation and Low Incomes', New Statesman, 6 August, pp 245–7.
paper 'Help for the Disabled', New Society, 24 July.
paper 'Money for a Million Children', New Statesman, 27 June.
minor 'Action not Promises', New Psychiatry, 18 December.
minor
'The Wrong Pips Squeaking', The Guardian, 10 July (article on those worst hit by inflation).
1976
** Disability Rights Handbook for 1977, London, Disability Alliance, 38 pages. The first edition of a handbook, which, because of changes in government laws and regulations, came to be rewritten and updated every year.
*paper The Difficulties of Policies Based on the Concept of Area Deprivation, Barnett Shine Foundation Lecture, Queen Mary College, University of London. An updated version subsequently incorporated into a chapter in Poverty in the United Kingdom, 1979.
*paper 'The Sociology of Ageing: Residential Homes and Institutions', in Old Age – Today and Tomorrow, London, British Association for the Advancement of Science.
paper 'Area Deprivation Policies', New Statesman, 6 August, pp 168–71.
paper 'How the Rich Stay Rich', New Statesman, 1 October, pp 441–4.
paper 'The Social Meaning of Income and Wealth Data', evidence presented to the Diamond Commission on the Distribution of Income and Wealth, and at Fabian Seminar, 6 March. Limited circulation.
1977
** Disability Rights Handbook for 1978, London, Disability Alliance, 40 pages.
*paper 'Inequality and the National Health Service', in J.M. Tanner (ed) Developments in Psychiatric Research, London, Hodder and Stoughton. This is a revised and updated version of the Lancet article, 1974 above.
paper 'Public Expenditure Cuts', in J. Gray and E. Wilson (eds) Report of the Discussion Conference on The Social Wage, London, National Steering Committee Against the Cuts, pp 23–7 and pp 32–4.
paper 'The Unrepentant Democratic Socialist', New Statesman, 15 April, pp 487–8 (an appreciation of Barbara Wootton).
minor 'The Disability Alliance: Collaboration to Achieve a New Deal for Disabled People', Responaut, Autumn/Winter.
1978
1979
***
Poverty in the United Kingdom: A Survey of Household Resources and Standards of Living, London, Penguin Books and Allen Lane, 1216 pages, published in the US, University of California Press. The book represents the culmination of a programme of 15 years of research. A decision was taken by the Joseph Rowntree Memorial Trust in 1964 to finance pilot studies on fatherless families, large families, and unemployed and disabled people (Dennis Marsden, Hilary Land, Adrian Sinfield and John Veit Wilson), to be followed by a national survey. In 1967–68, following pilot work, lengthy interviews were completed with 2,052 households, including 6,045 people, in 630 parliamentary constituencies throughout the UK. Another 1,514 households, including 3,539 people, were later interviewed in four poor areas of Belfast, Glasgow, Salford and Neath (to secure representative information for the populations of the poorest areas). The plan was to publish a relatively short report quickly. This plan was reluctantly abandoned, because of unanticipated changes of personnel and the teething problems in developing computer analysis in major universities, like London and Essex. The rich haul of data had not been properly anticipated. A decision was taken instead to prepare a complex and more comprehensive analysis of the empirical data, adding
a short history of the subject and an account of income trends in the UK in the 1970s following the interviews. Such a report, it was believed, might stand the test of time. The aim was also to establish an elaborate baseline on which others might build. The contribution to knowledge might be more enduring than a snapshot survey report, hastily put together. There were mixed reactions to publication in 1979. Despite the rich empirical evidence of widespread social need, the measure of poverty was believed by some to be greatly exaggerated. The concept of relative deprivation certainly provoked a lot of discussion, although the concept was often misinterpreted. The central scientific value of a sociological perspective was either not really absorbed (for example by many economists) or regarded with scepticism. Some unusual features of the report did not attract much scrutiny. One was the analysis of multiple deprivation. Thus, comparatively little attention was paid to certain forms of deprivation, like deprivation at work, deprivation of the performance of familial roles and environmental or locational deprivation. Much attention, by contrast, had always been paid to housing and dietary deprivation – both of these having a much higher scientific and popular profile. The report gave data about multiple deprivation (covering 60 indicators). However, it was the summary (of 12 indicators) that attracted most publicity rather than the 'network' of related evidence of deprivation. Another unusual, and overlooked, feature was a substantial chapter on the rich. And a third feature was a chapter on the cumulative 'classness' of occupational class within families. One result of particular interest was the larger absolute payment estimated to be made by the average council tenant for housing over the lifetime, compared with that made by the average homeowner.
** (with Irene Loach and Alan Walker) Disability Rights Handbook for 1980, London, Disability Alliance, 53 pages.
*paper 'The Development of Research in Poverty', in DHSS, The Definition and Measurement of Poverty, London, HMSO, pp 15–45. This enlarged on some of the themes of the major report on poverty in the UK and argued for a combined measure of income and wealth and for other improvements in method.
paper The Government's Failure to Plan for Disablement in Old Age, London, Disability Alliance, February.
paper 'Inequality at the Workplace: How White Collar Always Wins', New Society, 18 October.
paper 'La condizione degli anziani nella societa industriale matura', in P. Guidicini (ed) La Condizione Anziana Oggi, Milan, Franco Angeli Editore.
paper 'Getting the Message Across: A Summary of Poverty in the United Kingdom and an Interview', Poverty, no 44, December, pp 15–23.
paper 'Social Policy in Conditions of Scarcity', New Society, 10 May, pp 320–2.
paper 'Inequality at the Workplace: How White Collar Always Wins', New Society, 18 October, pp 120–3.
paper 'An Interview', Social Work Today, 6 November, pp 14–21. A long account of the origins of the 1968–69 survey of poverty, and an extensive review of the book, edited by Nathan Goldberg.
minor 'Prospects for the 1980s',Sunday Times, 30 December.
1980
***
(co-editor with Nicholas Bosanquet) Labour and Equality, London, Heinemann, 312 pages. (Peter Townsend was author of Chapter 1, pp 1–23). This emulated the 1972 book with a similar title and reviewed the Labour government's record in the late 1970s.
*** (with Sir Douglas Black, Jerry Morris and Cyril Smith) Inequalities in Health: Report of a Research Working Group, London, DHSS, 417 pages. Dr Stuart Blume was Scientific Secretary and Dr Nicky Hart Research Fellow to the Group. The Working Group was appointed in 1977 by the Secretary of State at the DHSS (David Ennals) to review information about differences in health status between the social classes; to consider possible causes and the implications for policy; and to suggest further research. The report was presented to the new Conservative government in April 1980. In a preface of three paragraphs the new Secretary of State, Patrick Jenkin, condemned the report. His department chose to issue only 250 duplicated copies of the typescript during the August Bank holiday, 1980. The health professions and the media reacted angrily to this dismissive treatment of report and subject. Many summaries were subsequently published and widely discussed. A slightly condensed version was published by Penguin Books. The two most important scientific conclusions of the Working Group's review were that inequalities in mortality had been growing during the 1950s and 1960s, and that, among the different causes of the unequal pattern of premature mortality, material deprivation was by far the most important. Although genetic inheritance and individual lifestyle (including smoking) contributed to the explanation of premature
deaths, it was material deprivation that dominated the picture and deserved priority in policy and further scientific investigation.
** (edited with Alison Cooper and Alan Walker Disability Rights Handbook for 1981, London, Disability Alliance, November, 62 pages.
*paper (with Alan Walker) 'Compensation for Disability: The Wrong Course', in M. Brown and S. Baldwin, The Yearbook of Social Policy in Britain, 1978, London, Routledge and Kegan Paul.
*paper 'The Care of the Elderly in Britain and Japan', Tokyo International Council on Social Welfare, March. This was the published version of a lecture first delivered in Tokyo in April 1978 to the Japanese National Committee of the International Council on Social Welfare.
paper 'Politics and Social Policy, an Interview', Politics and Power 2, London, Routledge and Kegan Paul, pp 99–111.
1981
*** (with Francis Cripps, John Griffith, Frances Morrell, Jimmy Reid and Stuart Weir) Manifesto: A Radical Strategy for Britain's Future, London, Pan Books. (Peter Townsend was responsible primarily for chapters entitled 'From Him that Hath' and 'Social Services for All', pp 182–220, as well as other passages.) In the early 1980s there was profound disappointment with the achievements of successive governments and this book is one of the attempts to construct a new strategy from a
structural review of national economic and social problems.
*** (edited with Alan Walker) Disability in Britain: A Struggle for Rights, Oxford, Martin Robertson, 220 pages. (Peter Townsend contributed two chapters, on the employment quota, pp 52–72, and on elderly people with disability, pp 91–118.) During the 1970s people with disabilities found their voices and there was a growing literature re-interpreting their rights.
** An Alternative Concept of Poverty: How it Might be Applied in National Case Studies in Developing Countries, with Special Reference to Social, Educational and Cultural Forms of Deprivation, Division for the Study of Development, UNESCO, Paris, 51 pages. Prepared at the invitation of UNESCO, this attempted to derive conclusions for development from a comparative analysis of poverty in different countries.
** The Family and Later Life, Unit 23 in Course on Contemporary Issues in Education (E200), Maidenhead, The Open University Press, 44 pages.
** (with Sally Robertson and Alan Walker) Disability Rights Handbook for 1982, London, Disability Alliance, December.
* (with D.G. Bull) Poverty and Welfare, Sussex Tapes (60-minute cassette).
*paper 'The Structural Dependency of the Elderly: A Creation of Social Policy in the Twentieth Century', Ageing and Society, vol 1, no 1. This paper analyses the state's role in creating dependency among older people – through policies addressed to retirement, pensions, hospital and residential care and community care.
paper 'Criticisms of the Proposed Cuts in the Government's Statistical Services', Journal of the Royal Statistical Society, Summer.
*paper 'Future Policy Trends: Problems of Implementation and their Resolution', in J. Kinnaird, Sir J. Brotherston and J. Williamson (eds) The Provision of Care for the Elderly, Churchill Livingstone, pp 68–80.
*paper 'Towards Equality in Health through Social Policy', International Journal of Health Services, January, pp 63–75.
paper 'Foreword', in B. Showler and A. Sinfield (eds) The Workless State, Oxford, Martin Robertson, pp xi–xvii.
*paper 'Guerrillas, Subordinates and Passers-by: The Relationship Between Sociologists and Social Policy', Journal of Critical Social Policy, September, pp 22–34.
paper 'Peter Townsend Replies', New Society, 29 September (reply to David Piachaud on poverty).
paper 'New Policies to Promote Health in Recent Controversy in Britain', one of the Kaiser Lectures, Centre for Health Studies, Yale University, 11 May. Limited circulation.
minor 'New Look Urged at Old', Morning Star, 24 June (article extracted from speech at a Help the Aged Conference).
minor 'By Restricting the Flow of Information the Government is Restricting the Right to Free and Open Discussion of the Industrial Economic and Social Conditions of Britain', The Guardian, 15 July.
minor 'Poverty in the UK', Books and Issues, nos 3–4 (an interview).
minor 'Shirley Williams Fails to Grasp What Has Happened in our Society', Tribune, 24 April (an article based on her book Politics is for People).
1982
***
(edited with Nick Davidson) Inequalities in Health, London, Penguin Books, 240 pages. (Edited version of 1980 publication with new introduction, pp 13–34.) This is the slightly condensed version of the
1980 DHSS report, which was designed to explain what had happened at the initial publication, as well as summarise relevant research published from 1980 onwards.
** (with Sally Robertson and Alan Walker) Disability Rights Handbook for 1983: A Guide to Income Benefits and Services, London, Disability Alliance, December, 120 pages.
*paper 'Memorandum of Evidence on the structure of Personal Income Taxation and Income Support', Treasury and Civil Service Sub-Committee, Wednesday 5 May, HMSO.
paper 'The Policy Implications of a Positive Approach to Health', Health Visitor, vol 55, no 3, pp 97–101.
paper 'A Partnership Between People: The Problems of the Development of Day Centres for Physically Handicapped People', Community Care, 4 March.
paper 'An Alternative Anti-Poverty Programme', New Society, 7 October, pp 22–3.
paper 'Poverty, Disability and Retirement', Proceedings of the Greater London Pensioners Conference, 24 March, London, GLC.
paper 'Preface', in R.H. Tawney, The Acquisitive Society, Harvester Press, pp 1–5.
paper 'The Costs of Children', conference of the National Council for OneParent Families on The Financial Consequences of Divorce, 28 May. Limited circulation.
paper 'Poverty and Health Among Children', The Colston Society Lecture, Bristol, 30 March. Limited circulation.
1983
*paper 'A Theory of Poverty and the Role of Social Policy', in M. Loney, D. Boswell and J. Clarke (eds) Social Policy and Social Welfare, Milton Keynes, Open University Press, pp 58–82. This took account of some of the many contributions to the debate about poverty since the 1979 publication of Poverty in the UK.
*paper (contributor) Priorities in Research, edited by Sir J. Kendrew and J.H. Shelley, Proceedings of the Fourth Boehringer Ingelheim Symposium held at Kronberg, Taunus, 12–15 May, 1982, Amsterdam, Oxford, Princeton, Excerpta Medica.
paper 'A Strategy Needed to Counter the Enforced Dependency of Elderly People', Inequality and Older People, Report of the Age Concern Scotland Conference, Edinburgh, May, pp 3–18.
paper 'A New Chapter in the History of the Quota Scheme', Bulletin of the Disability Alliance, Autumn, pp 1–4.
paper 'Preface', in Kenneth Pardey, Area Policy and Area Strategies: The Origins and Lessons of the British Experience, Sociological Review Monograph.
paper 'The Government Must do its Sums Better on Disability', in S. Robertson et al, Disability Rights Handbook for 1984, London, Disability Alliance, December, pp 124–7.
paper 'The Deepening Problems of Poverty: Latest Government Statistics', Disability Rights Handbook for 1984, pp 127–9.
paper 'The Growth of Mass Poverty in the 1980s', Report of Annual Meeting of National Association of Citizens Advice Bureaux.
paper 'The Pursuit of Equality', Poverty.
minor 'Rejoinder to Rethinking Social Inequality', Network: Newsletter of the British Sociological Association, October, 27, pp 11–13.
minor 'Considerable Cause for Concern' Yours, published by Help the Aged, vol 10, no 7 (an article on government proposals).
minor 'Low Incomes and Health', in Proceedings of a Conference on 'Patients' Needs First', organised by the Association of Community Health Councils for England and Wales, 15 November, pp 13–16.
minor
'Rich and Poor',
Comment on Channel 4, 7 November. Reprinted.
minor
'Marie Brown – A Tribute',
Poverty
, no 55, August.
1984
*** (with Roger Lawson and Robert Walker) Responses to Poverty: Lessons from Europe, London, Heinemann, 337 pages. (Peter Townsend wrote Chapter 1, pp 1–27 and contributed to Part V.) This is a selection of papers prepared for a cross-national conference.
** Fewer Children More Poverty: An Incomes Plan, Department of Social Administration, University of Bristol, 58 pages.
** (with Don Simpson and Nigel Tibbs) Inequalities of Health in the City of Bristol, Department of Social Administration, University of Bristol, 50 pages. This used indicators of material deprivation to show the big differences in premature mortality between rich and poor areas of the city.
*paper Why Are the Many Poor?, London, Fabian Society, Tract no 500, 36 pages. The first pamphlet of the Fabians (3 pages) was given this title, and is reproduced at the start of this 500th pamphlet, which reviews progress since 1884.
*paper (with B. Abel-Smith) Social Security: The Real Agenda, London, Fabian Society, 40 pages.
paper 'The Development of an Anti-Poverty Policy', in J.C. Brown (ed) AntiPoverty Policy in the European Community, Policy Studies Institute, pp 37–71.
paper 'Koyhyys Euroopassa Käsite, teoria ja politiika' ('The Conceptual, Theoretical and Policy Problems of Poverty in Europe'), plenary paper to the Finnish Social Policy Association, Jyväskylä, Finland, 21 October, Sosiaalipolitiikka.
minor 'A Rejoinder on Poverty', Social Policy and Administration, vol 18, no 2, pp 165–67.
minor
(with J. Sipilä) 'Peter Townsend in haastattelu',
Sosiologia
, vol 24, no 1.
minor minor
'Beyond Poor Images: How Britain's Poor are Treated and What we
Can do About it', Introduction at the CPAG's AGM, 12 May. Limited circulation.
'The Poor are Still With Us',
The Guardian minor
, 3 October.
'Poverty in Europe: Making it an Issue',
Fabian Society.
1985
** (with Don Simpson and Nigel Tibbs) 'Inequalities in Health in the City of Bristol: A Preliminary Review of Statistical Evidence', International Journal of Health Services, vol 15, no 2, pp 637–63. This is an edited version of the 1984 paper.
*paper 'A Sociological Approach to the Measurement of Poverty', Oxford Economic Papers, vol 37, pp 659–68. This is a critical response to a 1983 lecture by Amartya Sen, which was published in Oxford Economic Papers. In some respects the exchange illustrates the differences between economists and sociologists in analysing poverty.
paper 'Poverty and Anti-Poverty Strategies', Sheila Kay Memorial Lecture, Birmingham, British Association of Social Work. Circulated to members.
*paper 'From Welfare State to Social Development: Current Conflicts over the Future of the Welfare State', in Social Concerns in the 1980s: Thought and Action in Social Policy, European Centre for Social Welfare Training and Research, 1974–1984, Occasional Papers no 12, Vienna, pp 23–38.
paper
'Poor Britain',
Poverty
, Autumn, no 61, pp 24–5.
paper 'Basic Needs', in A. Kuper and J. Kuper (eds),The Social Science Encyclopaedia, London, Routledge and Kegan Paul, pp 63–4.
*paper 'Note on the Disabled Population of Working Age' (Annex 8), in Manpower Services Commission, The Report of the Working Group to Consider Certain Suggestions for Improving the Effectiveness of the Quota Scheme, Sheffield, MSC Employment Division, pp 80–102.
paper 'Preface: Mr Fowler's Black Hole: What Future for Social Security', in R. Silburn (ed) The Future of Social Security, London, Fabian Society, pp 2–6.
*paper 'Surveys of Poverty to Promote Democracy', in M. Bulmer (ed) Essays on the History of British Sociological Research, Cambridge, Cambridge University Press, pp 228–35.
minor 'Meeting the Needs of the Elderly', Local Government Information Unit Bulletin, November.
minor 'To the Blind New Sight – The Growth of Poverty in Britain', in Mission Alongside the Poor, Methodist Church House Mission Division, London.
1986
*** (with Peter Phillimore and Alistair Beattie) Inequalities in Health in the Northern Region: An Interim Report, Newcastle and Bristol, Northern Regional Health Authority and Department of Social Administration, University of Bristol, 252 pages. This report applied the methods of the 1984 Bristol study to the 686 wards of the Northern region, showing the high correlation between material deprivation and premature death.
** (with Paul Corrigan and Ute Kowarzik) Poverty and the London Labour Market, London, GLC, 104 pages. This was a hurriedly produced report of the 1985–86 London survey, caught by the abolition of the GLC in 1986.
*paper 'The Ideology and Instruments of Social Planning', in P. Bean and D. Wynes (eds) Barbara Wootton: Social Science and Public Policy; Essays in her Honour, London, Tavistock, pp 9–40.
*paper 'Ageism and Social Policy', in C. Phillipson and A. Walker (eds) Ageing and Social Policy, London, Gower, pp 15–44. This is a revised and updated version of the argument first set out in the 1981 paper on 'The Structural Dependency of the Elderly'.
*paper Why are the Many Poor?', International Journal of Health Services, 16, no 1, pp 1–32. This is an edited version of the 500th pamphlet published by the Fabian Society in 1984. It was given the same title as the first pamphlet in 1984.
*paper 'Social Welfare in the 1980s: An Overview', The Domesday Project, London, BBC, 16 pages.
*paper 'A Matter of Class: Reflections on the Growth of Poverty in the United Kingdom in the 1970s and 1980s', First Annual Lecture of the British Association of Social Work, Birmingham, and also in Poverty, no 65, Winter 1986/87.
paper 'Foreword: Democracy for the Poor', in M. McCarthy, Campaigning for the Poor: CPAG and the Politics of Welfare, Beckenham, Croom Helm.
paper 'Poverty', in E.J. Hansen, Vor tids Fattigdom (Poverty of our Time), Copenhagen, Hans Reitzels.
paper 'Poverty and Health: Health Needs in their Social Environment', in M. Andres and J. Lansley (eds) The People's Health: Health Policies and People's Needs in the Mersey Region, report of a conference organised by the School of Extension Studies, University of Liverpool, in collaboration with the Advanced Nursing Unit, November 1984, Liverpool Polytechnic.
paper 'Poverty, Power and Community', Poverty Today, Occasional Paper no 7, Centre for Theology and Public Issues, University of Edinburgh.
minor 'Meeting the Needs of the Elderly', Local Link: Bulletin of the Local Government Information Unit.
minor 'Foreword: Excluding the Poor', in P. Golding (ed) Excluding the Poor, London, CPAG.
minor 'Paradigms of Poverty: A Comment', Journal of Social Policy, vol 15, no 4.
1987
*** (with Paul Corrigan and Ute Kowarzik) Poverty and Labour in London, Survey of Londoners' Living Standards, Report no 1, London, The Low Pay Unit, 134 pages. This is an extended and improved version of the 1986 interim report, with chapters on the feminisation of poverty and on the rich.
*** (with Peter Phillimore and Alistair Beattie) Health and Deprivation: Inequality and the North, London, Croom Helm, 214 pages. The publication of the Black Report in 1980 prompted a number of research studies on area deprivation and ill-health, and this report ranked all 686 wards in the northern region in both respects. Among items of special interest are the two sets of combined indices of deprivation and illhealth (with a correlation coefficient of 66%), which have been used in subsequent research on the allocation of resources for healthcare; and the (unexplained) higher mortality of Middlesbrough when compared with Sunderland.
** 'The Case for Restraining Outer City Development: The Problem of Growing Social Divisions in Britain and Especially in Metropolitan Regions such as Greater Manchester in the 1970s and 1980s', evidence presented on 6 October to a Public Inquiry into a number of major retail proposals in the Greater Manchester Area under the Town and Country Planning Act of 1971, Consortium of Seven Local Authorities, 76 pages.
*paper (with R.G. Mullan) 'Peter Townsend: An interview', in Sociologists on Sociology, Croom Helm, 25 pages.
*paper 'Deprivation', Journal of Social Policy, vol 15, no 2, pp 125–46.
*paper 'Conceptualizing poverty', in Z. Ferge and S.M. Miller (eds) The Dynamics of Deprivation, A Comparative Study in Europe, London and Vienna, The Gower Press, pp 31–44.
*paper 'Poverty in Europe', in Z. Ferge and S.M. Miller (eds) The Dynamics of Deprivation, A Comparative Study in Europe, London and Vienna, The Gower Press, pp 63–94.
*paper 'The geography of poverty and ill-health', lecture to a Joint Meeting of the Economics and Sociology Sections of the British Association for the Advancement of Science on 'Social Inequality and Health Care', Health and Economics, edited by A. Williams, London, Tavistock, pp 37–67.
*paper A matter of class', Poverty, no 65, pp 12–14.
*paper (P. Convery, P. Corrigan, U. Kowarzik and D. Taylor) Hidden Unemployment: The True Measure of Unemployment in London, Survey of Londoners' Living Standards, Report no 2, London Unemployment Unit, 19 pages.
paper 'Poverty and Health', in C. Walker and A. Walker (eds) The Growing Divide: A Social Audit 1979–1987, London, CPAG, pp 82–7.
minor 'London – The Divided City', London Daily News, 4 June.
1988
***
(edited with Nick Davidson and Margaret Whitehead) Inequalities in Health: The Black Report and the Health Divide, London, Penguin Books, 400 pages (with a joint introduction of 28 pages). Margaret Whitehead was commissioned by the Health Education Council in the late 1980s to examine the stream of research reports on inequalities of health following the publication in 1980 of the Black Report, and prepared a report for the Council that adopted a similar structure (and also attracted wide publicity). The two reports were natural companions within the covers of one volume.
** Inner City Deprivation and Premature Death in Greater Manchester, Policy Research Unit, Tameside Metropolitan Borough, 84 pages. This analyses material deprivation in relation to premature mortality, ill-health and birthweight in 192 wards of Greater Manchester.
** (with Brian Gosschalk and Helen Lancaster) Service Provision and Living Standards in Islington, report of a survey in Islington by MORI in 1987 for the Council, London Market and Opinion Research International, 155 pages plus appendices. (Peter Townsend primarily responsible for two chapters.)
paper 'Deprivation and Poor Health in Cumbria', in C. Seale (ed) Deprivation and the Quality of Life in West Cumbria, report of a conference at Whitehaven, Cumbria on 12 February, Voluntary Organisations Liaison and Training Service, Whitehaven.
paper '1948 to 1988 – The State of the Nation's Health and the Case for a New Kind of Health Policy', in 40th anniversary commemorative volume on the National Health Service of Update, Siebert-International, London, 6 pages.
paper 'Combating Poverty', in E. Hanna (ed) Poverty in Ireland, Social Study Conference Publications, Portaloise, Laois, Ireland, 15 pages.
1989
*paper
(with D. Gordon) 'What is Enough? New Evidence Allowing the Definition of a Minimum Benefit', in House of Commons, Session 1988–89, Social Services Committee, Minimum Income, Memoranda laid before the Committee, 579, London, HMSO. This has a strange history. The Social Services Committee of the House of Commons asked for evidence to be submitted about the adequacy of low income. The question always has been relevant to the levels of benefit entitlement decided by the government of the day. This paper was among the evidence submitted. It represents an attempt both to deal with the criticisms of the objective basis of a poverty line first set out in Poverty in the United Kingdom, 1979, and to provide an operational measure of the minimum income needed by some principal types of household. The Select Committee did not, in the event, provide an opportunity for oral evidence to be given by witnesses, and, although published, the evidence attracted little or no press scrutiny. Shortly afterwards, the Select Committee was reconstituted as two separate committees, one dealing with health and the other with social security. The evidence was
based on a representative sample of 2,700 Londoners interviewed at length about incomes, employment and deprivation during 1985–86.
paper 'Le Revenu Minimum d'Insertion: Le Projet Francais', in B. Kouchner (ed) Les Nouvelles Solidarites, Actes des Assises Internationales de Janvier, Paris, Presses Universitaires de France, pp 124–39.
*paper 'Individual or Social Responsibility for Premature Death? Current Controversies in the British Debate about Health', Zeitschrift für Soziälreform, vol 35, nos 11–12, November–December.
*paper 'The Social and Economic Hardship of Elderly People in London: New Evidence from a Survey and a Discussion of the Influence of Social Policy Upon Current Trends', in A.M. Warnes (ed) Policies and Elderly People in Great Britain, Special Issue of Generations, Bulletin of the British Society of Gerontology, no 9, Spring, pp 10–30.
paper 'Poverty: Our "Greater Divide"', Community Care, 4 May.
paper 'The 1989 Disability Campaign', Disability Rights Bulletin, Northern Ireland, March, 10 pages.
paper 'Poverty: Retreat from Meaning', Community Care, 27 April.
minor 'Foreword', in M. Fairclough, Poor Law: From Government Claims to Real Effects of the 1986 Social Security Act. A study of the experience of Bristol claimants and welfare rights advisers, South Bristol.
minor
'Slipping through the net',
The Guardian
, 29 November.
minor
'Onderzoek naar sociale ongelijkheid',
Gezondheid und Politiek
, April.
minor 'Poverty Knocks: The Links Between Want and Sickness', New Statesman & Society, 29 September.
1990
paper 'Impoverishment and the Labour Market in Europe', a plenary paper given to a European Commission seminar on 'Poverty, Marginality and Social Exclusion in the Europe of the 1990s', Alghero, Sardinia, 23–25 April.
*paper 'Living Standards and Health in the Inner Cities', in S. MacGregor and B. Pimlott (eds) Tackling the Inner Cities, Oxford, Oxford University Press, pp 93–126. This used data specially collected in the London survey of 1985–86, which showed the statistical correlation between deprivation and ill-health.
paper 'Widening Inequalities in Health: A Rejoinder to Rudolf Klein', International Journal of Health Services, vol 20, no 3, pp 363–72.
*paper 'Individual or Social Responsibility for Premature Death? Current Controversies in the British Debate about Health', International Journal of Health Services, vol 20, no 3, pp 373–92.
paper 'The Relationship Between Deprivation and Ill-Health: New Evidence', Update, July.
*paper 'A Sociological View of Inner City Health', State of the Art, Proceedings of Eleventh National GP Trainee Conference, Newcastle, 14 pages.
*paper 'Inner City Deprivation and Social Polarisation in London', in N. Negri (ed) Poverta in Europa: Transformazione Dello Stato Sociale, Milan, Franco Angeli Press (and special edition of Quaderni di Sociologia), based on Symposium sponsored by Goethe-Institute of Turin, 19–20 November 1987, 30 pages.
paper 'Are Health Needs What They Seem to Be?', in E. de Leeuw, C.B. ter Stege and G.A. de Jong (eds) Research for Healthy Cities, proceedings of a conference sponsored by the Netherlands Society of Public Health and Science, in collaboration with WHO Europe, European Journal of Health Services.
paper (with D. Gordon) 'Let Them Eat Cake: The Idea of Meeting Minimum Needs is Abandoned', Low Pay Review, June, pp 6–9.
paper 'The Relationship Between Deprivation and Ill-Health: New Evidence', a paper given to the Manchester Literary and Philosophical Society, 17 May.
paper 'And the Walls Come Tumbling Down', speech to CPAG conference on 'Europe: A Fairer Future for the UK?', in Poverty, no 75, Spring.
paper (with J. Franks, S. Vass and M. Kahn) 'The Progress of the National Debate on Health in 1990' in The Cleveland Health Legacy: A Community View, Cleveland County Council.
minor 'The Future Composition and Direction of the Fabian Society', Fabian News, vol 102, no 1.
minor 'Jekyll and Hyde: The Global Market Threatens the Professional Elite As Much As Thatcher', New Statesman, 3 August.
minor 'Continuing Health Inequalities', Update, 1 May, p 998 (a response to John Fry).
paper 'The Way Ahead: Which Way?, The 1990 Disability Campaign', Disability Rights Bulletin, London, Disability Alliance.
1991
*paper The Poor are Poorer: A Statistical Report on Changes in the Living Standards of Rich and Poor in the United Kingdom 1979–1989, Statistical Monitoring Unit, Department of Social Policy and Social Planning, University of Bristol, March, no 1, 67 pages. First in a series of reports.
*paper Meaningful Statistics on Poverty 1991, Statistical Monitoring Unit, Department of Social Policy and Social Planning, University of Bristol, June, no 2, 21 pages.
*paper (with Dave Gordon) 'What is Enough? New Evidence on Poverty Allowing the Definition of a Minimum Benefit', in M. Adler, C. Bell, J. Clasen and A. Sinfield (eds) The Sociology of Social Security, Edinburgh, Edinburgh University Press, pp 35–69. This is an edited and shortened version of the 1989 paper with the same title.
paper 'Deprivation and Ill-Health: New Evidence', Nursing, September, pp 11–15.
paper 'Rethinking Anti-Poverty Strategies: The Last 25 Years and the Next', Poverty, no 78, Spring, pp 14–16.
paper 'Poverty and Deprivation in Britain 1979–1990: Mrs Thatcher's Ministrations', plenary lecture, Conference on Poverty, Self-Help and Welfare, Social History Society, Cambridge, 3–5 January 1990, 24 pages.
paper 'Evading the Issue of Widening Inequalities of Health in Britain: A Reply to Rudolf Klein', International Journal of Health Services, vol 21, no 1, pp 183–9.
paper 'Tales of Future Past', Society Special, London and New York, New Statesman and Society, 1 February, pp 23–4.
paper 'Labour Markets, Polarisation and Trends in Deprivation in London', paper given at a forum on 'Economic and Social Deprivation and the Structuring of the Labour Market in Industrialised Countries', Geneva, International Institute for Labour Studies, 43 pages.
minor 'The Black Report: Rejoinder to P.M. Strong', Journal of Public Health Medicine, pp 231–2.
paper 'Hard Times: What Prospects for European Social Policy?', European Labour Forum, no 6, 1991–92, pp 4–9.
paper 'Six Million Poor Are Poorer', The New Review of the Low Pay Unit, no 10, June, pp 8–10.
paper 'Foreword', in S. Becker (ed) Windows of Opportunity: Public Policy and the Poor, London, CPAG, October, pp 1–3.
paper 'Introduction' in A. Pepper and L. Curtice, Total Participation, Total Health, report of a conference held at the King's Fund Centre for Health Services Development, Tuesday 11 June 1991, London, King's Fund Centre.
paper 'Poverty and Labour in London: The European Dimension', opening address to a conference of NUPE, NALGO and COHSE, Congress House, London, 31 October, London, NUPE, 15 pages. Limited circulation.
paper 'Poverty and Social Polarisation', in Eurocities, Cities and Social Policies in Europe, contributions to the European Congress on Social Welfare, Barcelona, March, Ajuntament de Barcelona, on behalf of the Eurocities Social Welfare Commission, pp 205–13.
paper 'Poverty, Deprivation and Ill-Health in London and Other Cities', paper presented to a symposium held in Hanover, 23–26 May on 'The Future of the Medium-Sized City', 25 pages. Unpublished.
1992
***
(with Margaret Whitehead and Nick Davidson) Inequalities in Health: The Black Report and the Health Divide, Harmondsworth, Penguin Books, 450 pages (third edition, extensively revised and updated). Margaret Whitehead rewrote much of her 1988 report on the health divide and Peter Townsend shared with her the preparation of a new introduction (28 pages).
paper 'Poverty: The Power of One: The US and the International Agencies', New Statesman, 18 September, pp 18–21.
*paper Hard Times: What Prospects for European Social Policy? ,The Eleanor Rathbone Lecture for 1991 (full version), University of Liverpool (on behalf of 12 Northern Universities), Liverpool University Press, 25 pp.
*paper Unfinished Statistical Business?, Bristol Statistical Monitoring Unit Report no 3, Bristol, Department of Social Policy and Social Planning, University of Bristol, March, 24 pages. This was the third of the Bristol reports that illustrate the need for alternative statistical analysis independent of government.
paper 'Introduction', in The Poor in Britain from 1579, Colchester, John Drury, 10 pages. The book is a bibliography covering a library on Poor Law history.
paper 'Are the Days of the Welfare State Numbered?', lecture to one of the Monday Seminars of the Faculty at Queens College, City University of New York, 2 March, 10 pages.
paper 'Social and Economic Impacts of the European Community', address to the Socialist Scholars Conference, Borough of Manhattan Community College, New York, 25 April, 12 pages. This was one of four talks given at the conference, others being on the general election in the UK, the health reforms and poverty.
paper 'Poverty: An International Perspective', paper presented to a seminar at the Department of Sociology, Graduate Center, City University of New York, 1 May, 16 pages.
paper 'Trends in Poverty in Britain: International Causes, National Consequences', paper presented to a Faculty Seminar of the Departments of Economics and Sociology, University of Notre Dame, 28 April, 14 pages.
1993
***
The International Analysis of Poverty, Hemel Hempstead, Harvester Wheatsheaf, 291 pages. This book invokes the principles of crossnational analysis used in The Concept of Poverty, 1970, to develop a scientific and/or multicultural intellectual treatment of the idea. It argues for the use of a common concept internationally, for a theory or explanation which is neither culture-bound nor economistic and individualistic, and therefore for state and international policies of a more structural and equitable kind (as between 'races' and cultures as well as between individuals, sexes and age groups) to resolve the problem. As a social rather than individual phenomenon poverty invites structural analysis and structural solution. The book discusses current conditions in third world countries like India and Kenya as well as in Europe and the US. It calls attention to social polarisation as a global and not merely UK or US trend, and identifies multinational companies and international agencies as prime agents of this trend.
*paper
'New York and London: Urban Poverty and International Causes', paper given at the Session on the Rights of Citizenship and Social Policies, First International Congress on Urban Degradation and Poverty, University of Bologna, Italy, 12–14 May, 1992. Published as 'New York e Londra, poverta urbana e cause internazionali', in P. Guidicini and G. Pieretti, Le Residualita Come Valore: Poverta Urbane e Dignita Umana, Milan, Franco Angeli, pp 90–112.
*paper 'The Effects of Deprivation on Health', in Proceedings of the 22nd International Medical Advisory Conference, London, sponsored and published by the Brewers and Licensed Retailers Association, pp 139–63.
paper 'The Dangerous Reality of Two-Tier Europe', lecture given under the auspices of the Piltdown Partnership, University of Edinburgh in connection with 'The Alternative Summit', 10 December 1992, 12 pages. Unpublished.
*paper 'Measures of Social Class and Influence on Access in Britain', paper presented to the Committee on Health Services Research, Medical Care Section, American Public Health Association, 8 November 1992, 15 pages. Unpublished.
paper 'Poverty in London and Europe', lecture to a conference on 'Trade Unions and Europe', organised by the London Division of NUPE, Grand Committee Room, House of Commons, Westminster, London, 26 November 1992, 25 pages.
paper 'American Czarism: The Aftermath of the Los Angeles Riots', paper for the Michael Harrington Center, City University of New York, 8 pages. (An edited version of the article entitled 'The Power of One' was published on 18 September 1992 in the New Statesman.)
paper 'The International Welfare State', Fabian Review, vol 105, no 2, pp 3–6.
minor 'In the Ghetto', New Statesman and Society, 21 May.
paper 'Relative Deprivation', in W. Outhwaite and T. Bottomore (eds) The Blackwell Dictionary of Twentieth Century Social Thought, Oxford, Basil Blackwell.
paper 'Poverty', in W. Outhwaite and T. Bottomore (eds) The Blackwell Dictionary of Twentieth Century Social Thought, Oxford, Basil Blackwell.
*paper 'Underclass and Overclass: The Widening Gulf Between Social Classes in Britain in the 1980s', plenary address at the annual conference of the British Sociological Association, Plymouth, March 1989, in M. Cross and G. Payne (eds) Sociology in Action, London, Macmillan, pp 91–118.
*paper 'The Repressive Nature and Extent of Poverty in the UK: Predisposing Cause of Crime', keynote speech at the 11th annual conference of the Howard League on Poverty and the Criminal Justice System, 8–10 September. Shortened version in Criminal Justice, Journal of the Howard League, vol 11, no 4, pp 4–6.
paper 'Developments in Poverty Research', an interview with Kam-Wah Chan in Poverty, a special issue of the Journal of Policy Viewers, Hong Kong, January, pp 75–80.
paper 'Universality', presented to the annual conference of Citizens Income, LSE, 9 July.
*paper International Social Policy: The Case for a Social Development Programme as an Integral Component of a Collaborative International Strategy, evidence submitted to the Commission on Social Justice, Occasional Paper, Department of Social Policy and Social Planning, University of Bristol, 23 pages.
paper 'So Wrong Mr Cline: Pensions and Child Benefit: A Reply', Fabian Review, vol 105, no 4, September.
paper 'Hard Times: What Hopes for European Social Policy?', in K. Coates and M. Barratt-Brown (eds) A European Recovery Programme: Restoring Full Employment, Nottingham, Spokesman Books.
minor 'The Politics of Poverty and Health', open letter to the Secretary of State for Health, Virginia Bottomley, British Medical Journal, 30 January. (The Secretary of State replied on 13 February.)
1994
*paper 'The Need for a New International Poverty Line', in Old and New Poverty in the Welfare States: A Challenge to Reform our Social Security System?, report of a Euroseminar sponsored by the Friedrich-Ebert Foundation, London and Berlin, Friedrich-Ebert Foundation, 17 pages.
*paper (with Peter Lee) Trends in Deprivation in the London Labour Market: A Study of Low Incomes and Unemployment in London Between 1985 and 1992, research report forming part of the Labour Institutions and Economic Development Programme, DP/59/1993, Geneva, International Institute for Labour Studies, 38 pages. This is based on interviews with a small number of unemployed and low-waged individuals first interviewed in the London survey of 1985–86.
*paper (with Peter Phillimore and Alastair Beattie) 'The Widening Gap: Inequality of Health in Northern England, 1981–1991', British Medical Journal , vol 308, pp 1125–8.
*paper 'Introduction: The North in a Wider Context 1981–1991', in P. Phillimore and A. Beattie, Health and Inequality: The Northern Region 1981–1991, Department of Social Policy, University of Newcastle, 10 pages.
*paper 'New York and London: Urban Poverty and International Causes', in P. Guidicini and G. Pieretti (eds) Urban Poverty and Human Dignity, Milan, Franco Angeli, pp 107–26.
*paper 'Possible Solutions for Poverty Alleviation', in M.-T. Meereboer (ed) Social (In)Security and Poverty as Global Issues, Poverty and Development: Analysis and Policy no 10, The Hague, Ministry of Foreign Affairs, Development Corporation Information Department, pp 83–93.
paper 'Think Globally, Act Locally', European Labour Forum, vol 13, pp 2–9.
paper 'Battlelines: The Construction of an Alternative, and More Effective, Health Policy to that of the Conservative Government', in Better Housing, Better Health: Towards a Real Strategy for Health, report of a conference on 26 April, London, Socialist Health Association, pp 2–4.
paper 'The Need for an International Welfare State', in A. Jinkinson K. Livingstone et al, The Future of the Welfare State, Campaign to Defend the Welfare State, London, Unison, pp 7–8.
paper 'The Principle of Welfare: Reactions to the Newly Published Report of the Commission on Social Justice', presented at a day conference of the Transport and General Workers Union on 'In Place of Fear: The Future of the Welfare State', Commonwealth Institute, 7 pages. Also published in The Morning Star, Thursday 10 November.
paper 'We Have a Fair Way to go: the Links Between Social Justice and Social and Economic Development', New Statesman, 25 March, pp 18–19.
paper 'The Rich Man in his Castle: In Britain Inequality is Spiralling out of Control', British Medical Journal, vol 309, 24–31 December, pp 1674–5.
paper 'In Place of Fear: What Future for the Welfare State?', European Labour Forum, vol 14, Winter 1994/05, pp 2–5.
*paper 'Mission Report on Public Sector Management: Social Support and Safety Net Measures in the Republic of Georgia', New York, UNDP, 22 pages.
paper 'Targeted Socio-Economic Research', contribution to the design of a programme of 'Research into Social Integration and Social Exclusion in Europe', DG XII, 14–15 June, in G. Martinotti and B. Rhode, Report on the Workshop, Brussels, Commission of the European Communities.
1995
*paper
'Poverty in Eastern Europe: The Latest Manifestation of Global Polarization', in G. Rodgers and R. Van Der Hoeven, New Approaches to Poverty Analysis and Policy – III: The Poverty Agenda: Trends and Policy Options, Geneva, International Institute for Labour Studies, pp 129–52.
*paper The Rise of International Social Policy, School for Policy Studies, no 1, Bristol, The Policy Press, 22 pages (based on a public lecture at the University of Bristol).
*paper 'The Need for a New International Poverty Line', in Old and New Poverty: The Challenge for Reform, London, Rivers Oram Press.
*paper 'Worsening Global Inequalities and their Relevance to Britain', Adrian Wilson Memorial Lecture, address to 1994 conference of the Association of Social Science Teachers in Birmingham, 9 September 1994, Social Science Teacher, vol 24, no 2, Spring, pp 2–7.
*paper 'Persuasion and Conformity: An Assessment of the Borrie Report on Social Justice', New Left Review, no 213, September/October, pp 137–50.
*paper (with Peter Lee) 'A Study of Inequality, Low Incomes and Unemployment in London, 1985–1992', International Labour Review, vol 133, nos 5–6, pp 579–95.
*paper 'The Structural Causes of Social Polarisation and Growing International Poverty', in R. Franklin (ed) Global and Local: New York/London Through the Prism of Race, Class and Ethnicity, papers updated from a conference organised by the Michael Harrington Center for Democratic Values and Social Change, 30 April–1 May 1993, Minnesota University Press, Chapter 16.
paper 'Poverty: Home and Away', Poverty, no 91, Summer, pp 9–12 (based on a speech entitled 'An International Campaigning Strategy: Must the Number of Children in Rich and Poor Countries in Poverty go on Increasing?').
*paper 'Turning the Clock Back 100 Years', in S. MacGregor (ed) The Other City: People and Politics in New York and London, New Jersey, Humanities Press International.
*paper (with Alan Walker) The Future of Pensions: Revitalising National Insurance, Discussion Paper no 22, London, Fabian Society, 30 pages. A pensions strategy is the key problem in the next government's strategy for social development, and this is the culmination of a number of papers on the Borrie Commission report and related issues. Ironically the timing of the pamphlet coincides with the 40th anniversary of a Fabian pamphlet on the same subject published in 1954.
*paper (with Alan Walker) New Directions for Pensions, no 2, Socialist Renewal, European Labour Forum, Nottingham, Russell Press, 48 pages. This is an updated version of the Fabian discussion paper, with an additional six pages of commentary on events.
paper 'International Social Policy: Changes Following the Copenhagen World Summit for Social Development', paper presented to an international seminar on 'Development, Technology and Agency', under the auspices of the Italian Foreign Affairs Ministry, 26 May, Rome, Centro di Ricerca e Documentazione.
paper 'Will the Rich Countries Pay More Attention to Problems in their Own Backyards?', International Social Development Review, vol 1, no 1, New York, United Nations Department of Public Information, pp 12–18. This is a retrospective review of what was, and was not, achieved by the World Summit for Social Development in Copenhagen in 1995.
paper Community Pensions: The Future of the Basic State Pension, report to the Blackpool Pensioners' Parliament, Winter Gardens, Blackpool, 16 May, London, National Pensioners Convention, 15 pages (an answer to the Borrie Commission).
minor 'Key Objectives of Social Policy', in Economic Policies for Full Employment and the Welfare State, A Campaign to Defend the Welfare State/Full Employment Forum pamphlet, London, p 11.
minor 'London Pensions: Today and Tomorrow', London Age, no 4, London, Age Concern, pp 7–8.
minor 'Advancing Social Development', book review of World Bank and UNDP contributions to the World Summit for Social Development in Copenhagen, March, Development in Practice, vol 5, no 3, August, pp 266–7.
minor 'Note on Strategies for Development', The Newsletter of One World Action, Spring, p 10.
minor 'The Biggest Political Question: What Future for Welfare?', Tribune, 2 December.
1996
*paper 'The Struggle for Independent Statistics on Poverty', in R. Levitas and W. Guy (eds) Interpreting Official Statistics in the 1990s, London, Routledge, pp 26–45.
*paper 'Global Poverty: Is the Problem Becoming Impossible to Solve?', no 1, Shukutoku University Occasional Papers, October 1995, 33 pages. Widely circulated. Translated and published in Japan (based on a lecture in Japan).
*paper 'The Rise of International Social Policy: Choices for the United Kingdom and Japan', no 2, Shukutoku University Occasional Papers, October 1995, 23 pages. Widely circulated (based on a lecture in Japan).
*paper 'The Effects of Social Polarisation and Deprivation on Health', no 3, Shukutoku University Occasional Papers, October 1995, 32 pages. Widely circulated (based on a lecture in Japan).
paper (with Kwabena Donkor) 'An Alternative Strategy: Establishing an International Welfare State', plenary address at an international seminar on 'Economic Restructuring and Social Policy: 1. Global Restructuring and Social Policy', organised jointly by the UN Research Institute for Social Development and the UN Development Programme, New York, UN, 21 pages. An updated version was given to a conference organised by Research Committee 19 of the International Sociological Association in Pavia, 14–17 September 1995.
paper 'Stakes and Dragons: Funding or Pay-as-you-go? The Key Decisions in Welfare State Policy', European Labour Forum, 1996, Summer, pp 9–11.
paper 'Pioneering Anti-Poverty Policies (Brian Abel-Smith)', Poverty, pp 5–6.
*paper 'Will the Rich Pay More Attention to Problems in their Own Backyards?', Social Policy and Social Progress: A Review Published by the United Nations, special issue on the social summit, Copenhagen, March 1995, 1996, New York, pp 35–8.
*paper 'The Poor and the Poorest Re-visited', in J. Carrier et al (eds) Social Policy in Theory and Practice: A Celebration of Brian Abel-Smith's Work, 8 November. Circulated but not published.
,
minor (with Barbara Castle) 'Here's how we can all be better off', The Guardian 17 September.
1997
**
(with David Gordon, Jonathan Bradshaw and Brian Gosschalk) Absolute and Overall Poverty in Britain in 1997: What the Population Themselves Say, Bristol, Bristol Statistical Monitoring Unit, University of Bristol, 66 pages. Following the 1995 World Summit on Social Development, this was the first attempt anywhere to measure absolute and overall poverty. Using the subjective method of measuring poverty, 20% of a representative sample of the population defined themselves as living in absolute poverty, and 28% in overall poverty.
*paper 'Redistribution: The Strategic Alternative to Privatisation', in A. Walker and C. Walker (eds) Britain Divided: The Growth of Social Exclusion in the 1980s and 1990s, London, CPAG, pp 263–8.
*paper 'The Poverty Line: Methodology and International Comparisons', in D. Gordon and C. Pantazis, Breadline Britain in the 1990s, Aldershot, Avebury, pp 49–70.
*paper 'The Impact of Poverty on Health', King's Fund Conference, November, 30 pages.
*paper 'Privatisation: The Search for the Right Balance Between the Public and Private Sectors', Background Papers: Conditions for Social Progress: Humane Markets for Humane Societies, Second Copenhagen Seminar, Royal Danish Ministry of Foreign Affairs, Copenhagen, 35 pages.
*paper Changing the Direction of Pensions Strategy, evidence submitted to the Minister of Pensions, Government Pension Review, 36 pages.
*paper
'Poverty and Policy: What Can We Do About the Poor?',
Sociology
Review
, vol 7, no 1, September, pp 15–19.
'Privatising Poverty', minor
Community Care
, 3–9, July, pp 30–1.
minor
'The Gift Relationship', review in LSE Newsletter.
1998
**
The Future World of Work, European Social Policy Forum 98, Brussels, 24–26 June, Brussels, European Commission, DGV, 29 pages. This was prepared for the third European Social Policy Forum, as one of three major themes to be discussed. Successive drafts were discussed with officials in DGV of the European Commission and with an Advisory Committee. Whether the European social model could be sustained depended on resolving problems to do with stubbornly high rates of unemployment, new multiple patterns of work, an increasingly unequal distribution of income, enlargement of the Union, the weakness of existing so-called social 'safety nets' and the difficulties of managing equity in a changing mix of public service and private employment.
** (with Jonathan Bradshaw, David Gordon, Ruth Levitas, Sue Middleton, Christina Pantazis and Sarah Payne) Perceptions of Poverty and Social Exclusion 1998, report on preparatory research, University of Bristol, Centre for International Poverty Research. This is a report of a pilot project – leading to the Joseph Rowntree Foundation's Millennium Poverty Survey – designed to update the consensual method of measuring poverty by Joanna Mack and Stewart Lansley. Details
are given of methods of measuring absolute and overall poverty as defined at the Copenhagen Summit on Social Development and of operationalising the concept of social exclusion.
*paper 'Ending World Poverty in the 21st Century', Radical Statistics 68, pp 5–14. Also published in the Journal of Contemporary Health, 7, autumn, pp 47–9.
*paper 'The Construction of a Poverty Line and the Implications of Measurement for Policy', in Poverty in Scotland – Information for a Change, Glasgow Caledonian University, Scottish Poverty Information Unit, pp 2–8.
*paper (with Barbara Castle) 'Fair Shares for Pensioners', The New Review of the Low Pay Unit, vol 51, May–June, p 11.
*paper (with Barbara Castle, Bryn Davies, Hilary Land, Tony Lynes and Ken Macintyre) Fair Shares for Pensioners, evidence to the Pensions Review Body, London, Security in Retirement for Everyone, 38 pages. This pamphlet was one of a stream of publications produced by the coauthors, severally and individually during the period 1996–2001. It represents the attempt to construct an alternative policy on pensions to that being proposed by the Labour government, and was a last-ditch attempt to change the course of policy.
*paper 'New Governance: World-Wide Social Polarisation, Trans-National Corporations and the Structural Hierarchy of Power', Background Papers: Political Culture and Institutions for a World Community, Copenhagen Seminar for Social Progress, Royal Danish Ministry for Foreign Affairs, Copenhagen.
*paper Will Poverty Get Worse Under the Next Government? Privatisation Versus Redistribution, City Chambers, Edinburgh, New Waverley Papers, University of Edinburgh, 27 pages (edited and updated version of lecture, 24 April 1997).
*paper (with David Gordon) 'Success Measures: Response to the Government Green Paper on Welfare Reform', Radical Statistics, vol 70, Winter, pp 58–66.
minor 'For the Benefit of Tony Blair', Tribune, 13 February.
minor 'Field of Broken Dreams: Focus on Labour's Green Paper Welfare Reforms', News of the World, 29 March.
1999
** (with Paul Thompson) Peter Townsend: Life Story Interview, Qualidata, ESRC Qualitative Data Archival Resource Centre, University of Essex, Qualidata, 253 pages. This is an edited transcript of interviews with Paul Thompson, carried out from June 1997 to February 1999. The interviews were intended to illustrate the history of the development of society and social policy as experienced during one person's lifetime.
*paper 'Poverty, Social Exclusion and Social Polarisation: The Need to Construct an International Welfare State', plenary address in S. Shaver and P. Saunders, Social Policy for the 21st Century: Justice and Responsibility, proceedings of the National Social Policy conference in Australia, 21–23 July, Centre for Social Policy Research, Sydney, vol 2, pp 1–23.
*paper (with Sir Douglas Black, Jerry Morris and Cyril Smith) 'Better Benefits for Health: Plan to Implement the Central Recommendation of the Acheson Report', British Medical Journal, 318, no 7185, 13 March, pp 724–7.
*paper 'Inequalities in Health: The Need to Construct More Comprehensive Health Policies', in S. Waller, A. Crosier and D. McVey (eds) Inequalities in Health: A Series of Seminars held by the Health Education Authority, London, Health Education Authority, pp 67–77. Previously also published also as an Occasional Paper by the Health Education Authority, 14 pages.
*paper 'Ending World Poverty in the Twentieth Century', in D. Gordon and C. Pantazis (eds) Tackling Inequalities: Where Are We Now and What Can Be Done?, Bristol, The Policy Press, pp 211–31.
*paper New pensions for Old: The Key to Welfare Reform, Bristol, Townsend Centre for International Poverty Research, 32 pages.
paper 'A Structural Plan Needed to Reduce Inequalities of Health', in D. Gordon, M. Shaw, D. Dorling and G. Davey Smith (eds) Inequalities in Health: Evidence Presented to the Independent Inquiry into Inequalities in Health, chaired by Sir Donald Acheson, Bristol, The Policy Press, pp xiv–xxi.
paper 'Twelve Reasons why Child Benefit Should not be Taxed', Social Security Committee, House of Commons, Session 1998–99, Fourth Report, Child Benefit, 1999, HC114, London, The Stationery Office.
paper 'Foreword', in D. Gordon, M. Shaw, D. Dorling and G. Davey Smith (eds) The Widening Gap: Health Inequalities and Policy in Britain, Bristol, The Policy Press, pp x–xvii.
paper
(with Barbara Castle, Paul Flynn and Tony Lynes) Pensions as of Right for All: A Response to the Green Paper, London, Eunomia Publications, 18 pages.
2000
***
(with David Gordon, Jonathan Bradshaw, Sue Middleton, Christina Pantazis, Ruth Levitas, Laura Adelman, Julie Williams, Sarah Payne and Demi Patsios) Poverty and Social Exclusion in Britain, 2000, York, Joseph Rowntree Foundation, 101 pages. This book reports research into poverty designed to provide a scientific basis for the rapidly growing international debate. The objective was to produce a more focused measure of poverty, with rigorous methodology, than previously attempted, and to try it out in Britain but with implications for other countries. There were novelties as well as continuities in the research. It was built on the deprivation analysis in the 1979 book, listed above, but also the aborted London poverty survey of 1985–86 reported in the joint work of Gordon and Townsend (1993), the parallel work of Mack and Lansley (Poor Britain) and the subsequent book (Breadline Britain) edited by Gordon and Pantazis. The Office for National Statistics set an important precedent for joint work with independent research scientists by providing a follow-up sub-sample from their standard General Household Survey and undertaking the interviews to collect the necessary data. To set up the survey and analyse the data social scientists in four universities combined forces. (Peter Townsend was co-author of Chapters 1, 5 and 6.)
*paper
'Prisoners of the Global Market: Social Polaristion and Poverty', in J. Baudot (ed) Building a World Community: Globalisation and the Common Good, Copenhagen Seminars for Social Progress, Royal Danish Ministry of Foreign Affairs, Copenhagen, pp 230–52. The book is the culmination of a series of remarkable discussions attempting to consolidate some of the positive outcomes of the World Summit on Social Development, held in Copenhagen in 1995. The Danish Government, and especially its Minister for Overseas Development, hosted a series of seminars, the proceedings of which were not always well publicised. Many of the papers offer a commentary on international social developments – and policies – in the late 1990s.
*paper 'Ending World Poverty in the Twentieth Century', in D. Gordon and C. Pantazis (eds) Tackling Inequalities: Where Are We Now and What Can Be Done?, Bristol, The Policy Press, pp 211–31.
paper 'Policies to Reduce Poverty and Premature Mortality in Scotland and the UK', and 'Perceptions of the Necessities of Life: Scotland and England Compared', with oral evidence, Select Committee on Scottish Affairs, Inquiry into Poverty in Scotland, 9 February, Minutes of Evidence, House of Commons HC 59–v, London, The Stationery Office, pp 123–45.
*paper 'The Case for Structural Policies – National and International – to Reduce Health Inequalities', in I. Forbes (ed) Health Inequalities: Poverty and Policy, London, Academy of Learned Societies for the Social Sciences, pp 60–70.
*paper 'Policies to Meet Growing Poverty in Europe', in J. Pacolet (ed) Trade, Competitiveness and Social Protection, papers drawn from a conference organised by the Jean Monet European Centre, Leuven, Belgium, 14 December, 22 pages.
paper (with Christina Pantazis and David Gordon) 'Perceptions of the Necessities of Life, Scotland and England Compared', Select Committee on Scottish Affairs, Inquiry into Poverty in Scotland, 9 February, Minutes of Evidence, House of Commons HC 59–v, London, The Stationery Office, pp 123–7.
*paper 'Post-1945 Poverty Research and Things to Come', in J. Bradshaw and P. Sainsbury (eds) Researching Poverty, from the proceedings of the 1998 centenary celebration to mark Seebohm Rowntree's first study of poverty in York, Aldershot, Ashgate, pp 5–36.
*paper (with David Gordon) 'Poverty, Social Exclusion and Social Polarisastion: Applying the UN Declaration and Programme of Action on Absolute and Overall Poverty to All Countries', in Centro de Estudos Para a Intervencao Social (Centre for the Study of Social Intervention), Probeza e Exclus Social (Problems of Social Exclusion), report of a seminar in November 1999, Lisbon, Portugal, pp 91–101.
paper 'The Case for Poverty Surveys', in N. Yeates and E. McLaughlin (eds) Measuring Social Exclusion and Social Class, Belfast, Department of Social Development, pp 57–70.
minor 'Turning Pensioner Poverty Around', column on SocietyGuardian.co.uk, 18 November.
2001
***
***
(edited with David Gordon) Breadline Europe: The Measurement of Poverty, Bristol, The Policy Press, 465 pages. (Peter Townsend was the co-author of Chapters 1, 5 and 18.) The book reports European work to establish a scientific and international basis for the analysis and reduction of poverty. It also breaks new ground in building on the definitions of 'absolute' and 'overall' poverty originally adopted by 117 countries at the World Summit for Social Development at Copenhagen in 1995 and illustrating the impressive range of work going on around Europe into poverty. Absolute poverty is not supposed to exist in a country like Britain, but on the basis of the definition agreed by 117 governments at a World Summit in 1995 17% of a national sample of the population, representing 10 million, ranked themselves as living in absolute poverty. The most dramatic increases in Europe in extreme forms of poverty in the last 10 years had occurred in Eastern Europe and the republics of the former Soviet Union. Several chapters of the report – dealing particularly with Russia, Hungary and Poland – show the extremely severe situation being faced by many millions of people – partly as a consequence of the international agencies and governments failing to accept the need for policies on adequate income, especially the part played by modernised social insurance and a legal minimum wage, and the policies on adequate basic public services. International financial agencies and governments had failed to stop poverty growing because they had chosen not to treat it as a common global problem open to scientific investigation. The agencies had also not sought to show, with hard evidence, which policies had been successful and which unsuccessful according to impact and timing. The poverty line had to be treated as a scientific threshold, like the risk of excessive global warming or the risk of premature death from radiation or pollution. Targeting Poor Health: Professor Townsend's Report of the Welsh Assembly's National Steering Group on the Allocation of NHS Resources (vol 1), Cardiff, National Assembly for Wales, 118 pages. A national group was created to examine the formula by which £4 billion at the time was annually allocated to the NHS in Wales to find how it could be spent more equitably and justifiably, by area, to reduce inequalities of access to health services as well as overall inequalities of health. In the course of the inquiry, a research report (vol II) developing a more robust formula prepared under the direction of David Gordon was also
published. To reduce inequalities in health and access to healthcare the overall report recommended three things to the Welsh Assembly: (1) to adopt a direct needs formula for the allocation of NHS resources more equitably by area; (2) to improve financial information, particularly in tracing costs to recipients of care; and (3) to establish a dual strategy for health covering action outside as well as inside the NHS. The report was accepted by all parties in the Welsh Assembly Government, and a Standing Committee was established to implement the recommendations. As a first step early in 2004 most of an additional £30 million was allocated to five of the local health boards, among the total 22, whose funding was found to be furthest below the average required to meet the health needs of local populations. As the basis for allocating funds a new 'direct needs' formula was devised. It is based on the Welsh Health Survey, which provides detailed information about the conditions of health of a substantial representative sample (30,000) of the population of Wales. Among 18 indicators covered are arthritis, back pain, respiratory illness, heart problems, mental illness, cancer and diabetes. The survey is unique to the UK and in 2004–05 was extended in scale to provide data for the populations of 22 local health boards, and in its scope by age to children. The formula displaces previous methods of using service utilisation as a proxy for need, and the data are considered to be more comprehensive, practicable and reliable than alternatives on offer. A second novelty has been to pilot advocacy and equity training grants in selected areas. These illustrate respectively changes that have to be made both outside and inside the NHS to reduce inequalities in heath. The publication of the report followed 16 months' intensive consultation and research. In those years it gradually became clear that for administrators as well as politicians the primary problem was willingness to establish how the present formula worked, and where the money went. There was no other basis for effective new planning.
*paper 'Policies to Reduce Poverty and Social Exclusion in Wales', Select Committee on Welsh Affairs, Inquiry into Social Exclusion, 15 February, London, The Stationery Office,. Also in Welsh Affairs Committee, Third Report, Session 1999–2000, Social Exclusion in Wales, Volume II, Minutes of Evidence and Appendices, pp 411–16.
*paper (with Christina Pantazis and David Gordon) 'Perception of the Necessities of Life: Wales, England and Scotland Compared', Welsh
Affairs Committee, Third Report, Session 1999–2000, Social Exclusion in Wales, Volume II, Minutes of Evidence and Appendices, pp 416–19.
*paper 'The UK Model of Welfare from a Policy Perspective: Can it be Used in Constructing an International Welfare State?', in Policies and Instruments to Fight Poverty in the European Union: The Guarantee of a Minimum Income, Lisbon, Portugal, Institute of Development Studies, pp 111–31. Also published as a CD-Rom.
*paper (with David Gordon and Christina Pantazis) The International Measurement of Absolute and Overall Poverty: Applying the Copenhagen Definitions to Britain, no 5, Poverty and Social Exclusion Survey of Britain 1999 Working Papers, Bristol, Townsend Centre for International Poverty Research (web pages).
*paper (with David Gordon and Christina Pantazis) Absolute and Overall Poverty in Britain in 1999: What the Population Themselves Say, no 6, Poverty and Social Exclusion Survey of Britain 1999 Working Papers, Bristol, Townsend Centre for International Poverty Research (web pages).
*paper 'Poverty and the Inauguration of the Welfare State', Institute of Welfare Conference at the Ministry of Defence, Bristol, 2 July, 12 pages. Circulated only.
*paper 'Making Quality Count: Putting Reliability into Number-Crunching', in Celebrating Classic Sociology: Great Qualitative Research of the 20th Century, Qualidata Conference at the University of Essex, 5–6 July, 10 pages. Circulated only.
*paper 'What are the Causes of Health Inequality?', in A. Oliver, R. Cookson and D. McDaid, The Issues Panel for Equity in Health, London, Nuffield Trust, pp 76–9.
*paper 'Peter Townsend – 1928–', in B. Holman, Champions for Children: The Lives of Modern Child Care Pioneers, Bristol, The Policy Press, pp 127–55. This chapter gives Bob Holman's account of a working life, partly with the aid of an interview he carried out, but also drawing on interviews painstakingly recorded by Paul Thompson for Qualidata at the University of Essex (listed above under 1999).
paper (author Janet Fink) 'Historians and Social Science Research data: An Exploration of the Peter Townsend Collection', History Workshop Journal,.
minor 'Labour Needs to Loosen the Purse Strings to Have a Real Impact on Poverty', 8 June, Comment, SocietyGuardian.co.uk.
minor 'Reaping the Harvest of Neglect', 26 September, Afghanistan, Comment, SocietyGuardian.co.uk.
minor 'Humanitarian Coalition Must Start With Children', 10 October,
Comment, SocietyGuardian.co.uk.
minor
'Making the World's Only Political Forum Work', 15 November, Comment, SocietyGuardian.co.uk.
2002
***
(edited with David Gordon) World Poverty: New Policies to Defeat an Old Enemy, Bristol, The Policy Press, 454 pages. (Peter Townsend is author or co-author of Chapters 1, 14 and 17, the introduction and Appendices A and B.) This book asks whether existing international and national policies are likely to succeed in reducing poverty across the world. It concludes that they are not: that a radically different international strategy is needed. National policies can then adapt to help fulfil the UN Millennium goals. Policies intended to operate at different levels – international, regional, national and sub-national – ranging from those of international agencies like the UN and the World Bank through to those of national governments and groups of governments and local and city authorities – are examined and found not to be interrelated even in elementary ways. The underlying assumptions in the anti-poverty policies that exist of the causes and extent of poverty are brought into the open and discussed. Key aspects of social policy, like 'targeting' and means testing, de-regulation, reduction in public expenditure and privatisation, are considered in detail, especially as they have been applied to certain countries of Europe and Sub-Saharan Africa, and to China and India. Detailed review of structural adjustment and successor policies like the 'Social Funds', the 'Social Dimensions of Adjustment' (SDA) and the 'Programme of Action to Mitigate the Social Cost of Structural Adjustment' (PAMSCAD) finds that for many years the World Bank strategy on poverty has been unsuccessful. The declared aims of the Bank to increase economic growth, invest in the human capital of education and in social safety nets for vulnerable groups are shown to be indirect, imprecise, overly long term and sparing in resources and coverage – and hence inefficient and ineffective. A novel feature of the book is the strong link it makes between policies to establish human rights and necessarily universal anti-poverty policies. The book is a companion volume to Breadline Europe: The Measurement of Poverty, Bristol, The Policy Press, March 2001. Its scope is international rather than predominantly European and its focus is on
**
**
*paper anti-poverty policies rather than the scale, causes and measurement of poverty.
(edited with David Gordon, Shailen Nandy and Christina Pantazis, with Alberto Minujin, Jan Vandemoortele and Ceema Namazie) Child Rights and Child Poverty in Developing Countries, report to UNICEF, Bristol, Townsend Centre for International Poverty Research, University of Bristol, 24 pages. This is a very short version of a report prepared for UNICEF and submitted in the same year. The research represents a new attempt internationally to directly measure child poverty and to relate such measurement to the fulfilment in different countries of the Convention on the Rights of the Child. The analysis is based on social surveys carried out in different countries according to a standard pattern, rather than on census and administrative data used in the past, that are seriously incomplete and relate only indirectly, through households or parents, to children. The measure of child poverty is based on data about multiple forms of deprivation. The measure of child rights is based on two alternative measures of fulfilment of child rights, one of which is related to the country surveys, and the other to the tables of statistical indicators published by international agencies like the World Bank and UNDP. Effectively a new source of data is compared with a conventional source of data for a large number of countries. The differences in the results obtained are sometimes considerable and are therefore controversial.
Targeting Poor Health: Next Steps. Consultation Response. Report to the Health and Social Services Committee of the National Assembly for Wales, Cardiff, National Assembly for Wales, 105 pages. The 2000 report described above was issued for formal consultation in Wales in October 2001, and following written and spoken comments made by many organisations and individuals a commentary and analysis was prepared for the National Steering Group of the original review. This consultation report was approved in February 2001 by the Health and Social Services Committee and then the National Assembly for Wales itself. The key summary of recommendations will be found in Section 3 of the report. These include the 'dual strategy', improved information about expenditure on health, and a new 'direct' formula for purposes of re-directing resources.
'Can Europe Help to Re-organise International Social Policy?', in Social Policy in Greece and the European Union: New Challenges, Trends and Reform Prospects, first conference of the Hellenic Social Policy
Association, Democritus University of Thrace, 10–13 May, 2001, 20 pages. Circulated only.
*paper 'The Role of the UN: Directing Global Resources to the Rural Poor', expert group meeting on 'Globalisation and Poverty Reduction: Can the Rural Poor Benefit from Globalisation?', Division for Social Policy and Development, UN, 8–9 November 2001, New York. Circulated only.
*paper '"The Restoration of 'Universalism": The Fall and Rise of Keynesian Influence on Social Development Policies', prepared for the UNRISD project on Social Policy in a Development Context, Geneva UNRISD (published November 2002 and due for inclusion in forthcoming UNRISD report). Also www.unrisd.org in a development context.
*paper 'Targeting Poor Health: Next Steps', Consultation Response, report to the Health and Social Services Committee of the National Assembly for Wales, Cardiff, National Assembly for Wales.
paper 'The Future for the Welfare State', conference for Labour Party members and Trades Unions, London, Socialist Campaigns Group. Circulated only.
paper 'Pre-Budget Briefing on Child Poverty', All-Party Parliamentary Committee on Social Policy. Circulated only.
minor
'An Appreciation: Barbara Castle',
The
Guardian
, 8 May.
minor
'Peter Townsend', biographical article,
SPA News
Social Policy Association., May/June, pp 1–5.
2003
***
(with David Gordon, Shailen Nandy, Christina Pantazis and Simon Pemberton) Child Poverty in the Developing World, report for UNICEF, Bristol, The Policy Press, 36 pages (summary from full report of 112 pages). This represents the analysis envisaged a year earlier in the interim report, setting out the unexpectedly large proportion of children experiencing severe deprivation – using seven indicators of basic human need – food, water, sanitation, information, education, health and shelter. Severe deprivation in relation to two or more of these indicators was treated as meeting the Copenhagen criteria of 'absolute poverty'. Cross-national data are drawn from a new source, namely the Demographic Health Surveys (DHS) and Multiple Indicator Cluster Surveys (MICS). Using these more comprehensive (and reliable) survey data the authors found that in five regions of the developing world 37% of all children (or 674 million) were in absolute poverty. The report also draws attention to the indeterminate or indirect effects of previous and
, Newsletter of the
current policies related to economic growth, overseas aid and forms of debt relief, which have not been successful in reducing the numbers in poverty, and concluded that international policies needed to take a different direction. An international fund for children should be set up, based on revenue from a new international financial tax, allowing developing countries to draw amounts specifically for the introduction or enlargement of schemes of child benefit in cash or kind – designed to reach children directly.
** (with Bryn Davies, Hilary Land, Tony Lynes and Ken Macintyre) Better
Pensions: The State's Responsibility, Catalyst Working Paper, Catalyst, 56 pages. This reflects a final effort of a group of experts working on pensions to steer the 1997 government back to the successful pensions strategy developed by a Labour Party team first in the mid-1950s and then by successive Labour governments in the late 1960s and mid- and late 1970s. The recommendations would now of course be updated to meet modern global conditions of increasing inequality. Acceptance of the strategy meant re-embracing universality, gender rights through working life and child-rearing, intergenerational solidarity and redistribution from working life to retirement, and from rich to poor, by pooling individual contributions graded according to income. Money purchase schemes were proving under New Labour to be poor value for money and were not providing an assured level of retirement income.
** (with Bryn Davies, Hilary Land, Tony Lynes and Ken Macintyre) 'The Emperor's Clothes: Pensions Policy Exposed', evidence to the Inquiry on Pensions by the Work and Pensions Committee of the House of Commons, London, The Stationery Office. This is the earlier and more formal version of the above paper that sought to influence one of the parliamentary inquiries.
paper 'Relative Deprivation' and 'Poverty', in W. Outhwaite (ed) The Blackwell Dictionary of Modern Social Thought, second edition, Oxford, Basil Blackwell.
*paper 'The Rights of Children to Survival and Health: Time to Secure their Freedom from Poverty', The Lancet.
*paper (with Bryn Davies, Hilary Land, Ken Macintyre and Tony Lynes) The Emperor's Clothes: Pensions Policy Exposed, evidence to the Inquiry on Pensions by the Work and Pensions Committee of the House of Commons, London, The Stationery Office.
*paper (with David Gordon, Jonathan Bradshaw and Julie Williams) 'The Concept and Measurement of Poverty;, in D. Gordon, R. Levitas and C.
Pantazis, Poverty and Social Exclusion in Britain: The Millennium Survey, Bristol, The Policy Press.
*paper (with Ruth Levitas, Jonathan Bradshaw and J. Johnson) 'The Concept and Measurement of Social Exclusion', in D. Gordon, R. Levitas and C. Pantazis, Poverty and Social Exclusion in Britain: The Millennium Survey, Bristol, The Policy Press.
video Peter Townsend on 'Poverty in the United Kingdom', A Study in Quantitative Methods, The Classic Collection, Twickenham, Halovine.
2004
*paper
'From Universalism to Safety Nets: The Rise and Fall of Keynesian Influence on Social Development', in T. Mkandawire (ed) Social Policy in a Development Context, UNRISD, Basingstoke, Palgrave Macmillan, pp 37–62. Prompted by a meeting sponsored by the UN Research Institute for Social Development this paper argues that after being relegated by the majority of economists to legendary status Keynes now personified a strategy in waiting. He had cut the ground beneath the feet of classical and neoclassical economic theory in the 1930s and the policies that he recommended had worldwide acceptance in the war years. Not only was he instrumental in helping Europe recover from the 1939–45 war but his universalism and contribution to social development – through minimally adequate living standards and public services – was greater than supposed. He left his mark on the consolidation of social security in the US and of the post-war welfare in all industrialised societies, and despite the early distortions of his proposals for the Bretton Woods institutions and the ascendancy from the 1970s of monetarism and then neoliberal economics, his ideas are becoming vital again today if the inequalities being generated by the global economy are to be resolved.
*paper 'Re-thinking International Social Policy to Defeat Poverty', in M. Petmesidou and C. Papatheodorou (eds) Poverty and Social Exclusion Exandas, pp 115–58 (in Greek).
*paper The World Trade Organisation: The Role of the EU post-Cancun, 16th Report of Session 2003–4, HL Paper 104, 'Minutes of Evidence', London, The Stationery Office, pp 10–17.
*paper (with Simon Pemberton, David Gordon, S. Nandy and Christina Pantazis) 'The Relationship Between Child Poverty and Child Rights: The Role of Indicators', in A. Minujin, E. Delamonica and M. Komarecki (eds) Human
Rights and Social Policies for Children and Women: The Multiple Indicator Cluster Survey (MICS), New York, The New School, pp 47–62.
paper 'Fighting Child Poverty Through Direct Policies', In Focus, Newsletter of the International Poverty Centre, Brasilia, UNDP, March, pp 3–5.
paper* 'Reducing Child Poverty: A Review of Tried and Untried Policies in the Developing World', conference sponsored by UNICEF and the New School University, New York, April. Circulated only.
paper 'Reflections on Becoming a Researcher', International Journal of Social Research Methodology, vol 7, no 1, pp 19–27.
paper 'National Assistance and the Rediscovery of Poverty: The Poor and the Poorest', in S. Becker and A. Bryman (eds) Understanding Research for Social Policy and Practice: Themes, Methods and Approaches, Bristol, The Policy Press, pp 5–7.
*paper 'Brian Abel-Smith', in H.C.G. Matthew and B. Harrison (eds) Oxford Dictionary of National Biography, Oxford, Oxford University Press.
*paper 'Reforming Global Social Policy to Defeat Poverty', Hellenic Social Policy Association, inaugural annual lecture, 20 November 2002, Athens, Exandus.
paper 'Poverty', in A. Kuper (ed) Social Science Encyclopaedia, London, Routledge.
paper 'Relative Deprivation', in A. Kuper (ed) Social Science Encyclopaedia, London, Routledge.
paper 'Basic Needs', in A. Kuper (ed) Social Science Encyclopaedia, London, Routledge.
2005
***
Inequalities in Health: The Welsh Dimension 2002–5, Welsh Assembly Government, 122 pages. This is the final report in a close association with the Assembly for Wales during more than four years. The first reports are listed above under 2001. This report builds on the work of the Standing Committee on Resource Allocation established by the Welsh Assembly Government in 2002 and chaired by Peter Townsend. The legacy of poor health and inequalities in health in Wales and later information is described. The interdependence of action needed on equity in access to service, improvements to be made in healthcare and action to deal with material and social deprivation are featured. Among the issues picked out are UK government policies that affect health in Wales; development of reliable data about the monetary
value of different healthcare services to individuals and households; and how resources and the valuation of healthcare needs are matched for all local health boards in Wales. The boards can play the key role in reducing inequalities in healthcare at every level of service. From the resources they receive each year they could regularly review how those resources should be allocated more equitably in their budgeted expenditure. They should be allowed and strongly encouraged, especially by means of the introduction of new forms of professional training about deprivation, and by consultation with NHS leaders about the needs of people in relation to different types of service, to play this role. Annual allocation of resources: the principle that target shares in the allocation of healthcare resources could be achieved by differential growth – agreed in a pilot decision in 2002 by the Assembly – but the speed of implementation and subsequent stages to establish equity were not proposed in detail and issued for acceptance. Inequalities in health are becoming very serious and extensive counter-action outside as well as inside the NHS is required. A number of recent reports by the Assembly have prepared the ground. The possibility of drawing up, with other relevant organisations, a concerted programme to reduce material and social deprivation, prevent ill-health in the first place and enhance life chances, by monitored stages, should be considered by the Welsh Assembly Government. In the UK non-devolved policies have a crucial impact on the socioeconomic conditions that underlie unequal health. The levels of Child Benefit and Incapacity Benefit are two striking examples. The Welsh Assembly Government cannot control this aspect of policy but it can, and should, make serious representations on issues that make a huge difference to the health and well-being of people in Wales. And in a research programme (1) The development of the direct needs model, and of the Welsh Health Survey on which it relies, should form part of a much wider, all-embracing programme of research and development on inequalities in health and social care; and (2) an individual patient tracking healthcare costs model should be introduced by stages to improve capacity to address healthcare needs efficiently. 'An End to Poverty or More of the Same?', Lancet, vol 365, no 9468,
*paper 16–22 April, pp 1379–80.
*paper 'Poverty and Human Rights: Multi-Dimensional International Measurement', International Poverty Centre, UNDP, Brasilia 29–31 August (www.undp.org/povertycentre).
paper 'Introduction', Equity Training and Advocacy Grants – learning from the pilot programme, Public Health Strategy Division 3, Welsh Assembly Government, pp 5–7.
*paper (with David Gordon) 'Rights-Based International Indicators: Poverty and the Rights of the Child', Metagora Forum OECD, Paris, 24 May. Circulated in proceedings.
*paper (with David Gordon, M. Irving and Shailen Nandy) 'Multidimensional Measures of Child Poverty', UNICEF sponsored international conference, New York, New School, April.
2006
** (with V. Adebowale, F. Bennett, R. Cadbury, R. Exell, R. Lister, D. Piachaud, A. Rahman, A. Robinson and P. Toynbee) Narrowing the Gap: The Fabian Commission on Life Chances and Child Poverty, London, Fabian Society, 226 pages. The Commission met frequently and through a succession of drafts eventually constructed a comprehensive and detailed account of the social and psychological conditions of children in the UK, with radical recommendations for government action.
*paper 'Poverty and Human Rights: The Role of Social Security and Especially Child Benefit', Hong Kong Journal of Social Work, vol 40, nos 1/2, Summer/Winter, pp 3–32.
*paper 'Policies for the Aged in the 21st Century: more "structured dependency" or the realisation of human rights?', Ageing and Society, vol 26, pp 161–79. (Peter Townsend had contributed the first paper to be published in this journal in 1981 and was invited, 25 years later, to address the themes and conclusions of that paper.)
*paper 'Reconstructing the Social Security System in the 21st Century to Solve the Developing Problems of Poverty and Access to Human Rights', Social Security Studies, Beijing, China, vol 1, pp 25–37 (in Chinese). This lecture was given in April at the People's University of China (Renmin University) at the invitation of Professor Zheng Gongcheng.
paper 'Poverty in the Mediterranean region: Applying Human Rights Strategy', in M. Petmesidou and C. Papatheodorou (eds) Poverty and Social Deprivation in the Mediterranean area: Trends, Policies and Welfare prospects in the New Millennium, Bergen, CROP, pp 374–98. This is the concluding chapter of the book that derived from an original conference held for intending authors from nearly all the countries bordering the
Mediterranean, and Peter Townsend was invited by the editors to draw the material together.
*paper 'Introduction', Compendium of Best Practices in Poverty Measurement, Rio Group, Expert Group on Poverty Statistics, Rio de Janeiro, pp 15–34.
paper 'What is poverty? An Historical Perspective', What is Poverty?, Concepts and Measures, Poverty in Focus, UNDP International Poverty Centre, Brasilia, pp 5–6 (www.undp.povertycentre.org).
*paper '"Absolute" and "Overall" Poverty: The Copenhagen Approach to the Fulfilment of Human Rights', Global Social Policy, vol 6, no 3.
*paper (with David Gordon and Christina Pantazis) 'The International Measurement of "Absolute" and "Overall" Poverty: Applying the 1995 Copenhagen Definitions to Britain', in C. Pantazis; D. Gordon and R. Levitas (eds) Poverty and Social Exclusion in Britain: The Millennium Survey, Bristol The Policy Press, pp 71–88.
*paper (with Christina Pantazis and David Gordon) 'The Necessities of Life', in C. Pantazis; D. Gordon and R. Levitas (eds) Poverty and Social Exclusion in Britain: The Millennium Survey, Bristol, The Policy Press, pp 89–122.
2007
**
The Right to Social Security and National Development: Lessons from OECD Experience for Low-income Countries, Issues in Social Protection, Discussion Paper no 18, Geneva, International Labour Office, 50 pages. The research was commissioned by DfID for a joint review by the ILO, GTZ and DfID of the relevance of social security in OECD countries to the developing countries in seeking to defeat poverty. The economic development policies advocated by the international financial agencies had failed to reduce the number in extreme poverty over a period of several decades. Universal public social services and social security systems had been treated as aberrations of the past rather than as institutions necessary to the future. Since 2000 the strengths of comprehensive or universal public social services and social protection or security payments have begun to be recognised, partly at the instigation of international organisations such as the ILO and UNICEF. Recognition of the strengths in particular of (i) contributory social insurance and (ii) tax-financed group benefits on behalf of children, disabled people and the elderly, may follow. These two types of benefit – long-established in OECD countries – are 'universalistic' measures; they are not 'selective' or discriminatory on means testing. Once the
part to be played by both of these, especially the first, comes to be fully recognised cross-nationally the urgent re-formulation of development policies to reduce poverty is likely to be welcomed – and bring tangible success. In aiming to reduce poverty, establish basic social services and meet individual adversity, OECD countries have come to spend an average of one eighth (12.6%) of their GDP on public social security cash benefits, and altogether more than a fifth (20.9%) on public social services and social security, excluding education. All member countries of the OECD have substantially lower rates of poverty as a consequence. And high social security spending is often consistent with above-average economic growth.
Comprehensive social insurance and tax-financed group schemes covering everyone in certain population categories account for much more than half such OECD expenditure, and means-tested social assistance for the smaller part. Universal coverage of children, disabled and older people are the bedrock measures. The more conditional and maybe punitive forms of selective social assistance are counterproductive for social cohesion, well-being and productivity. The OECD percentages of national income committed to the public social services and social security dwarf those currently committed by the developing countries and show how the problems of poverty and social instability can gradually be overcome. But in global conditions the developing countries can build similarly effective systems only if global players like the rich governments, transnational corporations and international agencies recognise they have to play their necessary part – like company employers in the 19th century who previously contributed a large share of the funds required to guarantee minimal security inside and outside work. Social security schemes involving entire populations and categories of the population like young children and disabled people can be phased in by stages in the poorest developing countries. International social security is coming to stay. ** (with David Gordon, M. Irvine and S. Nandy) The Extent and Nature of Absolute Poverty, final report to DfID: R:8382, Centre for International Poverty Research, University of Bristol, 53 pages. This research followed the work reported above under 2002 and 2003 of developing a more accurate and reliable measure of multiple deprivation (representing absolute poverty) among children by extending the methodology to adults as well. The aim was to construct a measure for the entire world population. Almost a quarter of the world's population were found
to be absolutely poor (1.4 billion people). Rates of absolute poverty were higher among children than adults, and higher among females than males. (Report presented to the sponsors, DfID, with publication forthcoming.)
*paper 'Mediterranean Poverty and Conflict: Applying a Human Rights Strategy', in C. Chinkin, D. Downes, C. Gearty and P. Rock (eds) Sociology and Politics of Denial: Crime, Social Control and Human Rights – Essays in Honour of Stanley Cohen, London, Willan Publishing, pp 284–303.
*paper 'Why do we Need Social Protection and Social Security Systems?', Entwicklung & laendlicher Raum (Agriculture and Rural Development), no 3, pp 1–7. This is a short, crisp, version of the report for the ILO described above.
*paper 'Using Human Rights to Defeat Ageism: Dealing with Policy-induced "Structured Dependency"', in M. Bernard and T. Scharf (eds) Critical Perspectives on Ageing Societies, Bristol, The Policy Press, pp 27–44.
*paper 'World Poverty: New Policies to Defeat an Old Enemy', in P. Herrman and S. Herrenbrueck (eds) Changing Administration – Changing Society: Challenges for Current Social Policy, New York, Nova Science, pp 77–96.
*paper (with Simon Pemberton, David Gordon, Shailen Nandy and Christina Pantazis) 'Child Rights and Child Poverty: Can the International Framework of Children's Rights be Used to Improve Child Survival Rates?', Public Library of Science (PLoS) Medicine, vol 4, no 10, 0001–4 (www.plosmedicine.org/).
2008 (as at February 2008)
***
(editor) Social Security: Building Decent Societies, Geneva, ILO, approximately 320 pages (publication forthcoming). Following the research for the ILO described above under 2005–06 Peter Townsend was invited to edit a volume containing papers of both industrialised and developing countries for the three sponsoring bodies: ILO, GTZ and DfID. The book reviews why social protection systems in general, and social security in particular, are not actively promoted in the low-income countries as a prime means of reducing poverty and contributing to economic and social development. Among the key issues are the historical development of social security in OECD countries and what in particular has brought about the relevant institutions in those countries; the relationship between growth, poverty reduction, state building and social security in OECD and
**paper middle income countries; whether growth, national wealth and an
'effective state' have been necessary pre-conditions for, or positive outcomes of, social security; whether there are trade-offs in OECD countries between growth and social security; what wider functions are being served by social security systems in, for example, tackling inequality and exclusion, reducing social conflict, managing demand in the economy, improving the efficiency of labour markets and protecting workforces; how far, and in what respects, social security in high-income and low-income countries is sustainable and affordable, especially in relation to the impact on job markets; and what lessons might be derived from such cross-national analysis for low-income countries in the context of the challenges they currently face in achieving the Millennium Development Goals, building effective states and accelerating their own economic and social development. Investment in Social Security: A Possible UN Model for Child Benefit (publication forthcoming). International aid policies have been relatively unsuccessful for several decades for countries in conditions of desperate adversity. A practical alternative is to work on the principle of participatory international funding for universal Child Benefit, which will have more direct and immediate effects in raising family living standards. A century and more ago OECD countries financed universal social security systems to reduce poverty through national taxation and employer contributions. National agreements for social security became wholly acceptable to business. The same principle may be used today for the low-income countries but must differ in method because the economy is now global. A Currency Transfer Tax, supported by employer contributions from transnational corporations, could directly benefit children. A universal benefit for children, in cash or in kind, would attract worldwide support. It could prove to be not just a salvation for the world's children, but regain public respect for the work of the international agencies on world social development and the fulfilment of the Millennium Development Goals. Substantial resources can come from the international agencies, countries with the biggest economies and transnational corporations. A century ago employer contributions helped substantially to finance social security in each of the newly industrialising countries. Transnational corporation contributions and a new international tax scheme could do the same today. A CTT of 0.2%, compared with a standard fee of 2 or 3% charged by firms for currency exchange at airports, would raise a very large sum
for a UN Investment Fund for children and, with urgent investment in national infrastructure, quickly diminish child poverty.
*paper Using Human Rights to Reduce Inequalities of Economic and Social Development, public conference on 'World inequality: A challenge to globalisation', sponsored by the Egmont Institute, Brussels, Belgium [publication forthcoming].
*paper 'Marginalisation and social exclusion dimensions of poverty', in B.A. Andreassen, S.P. Marks, and A.K. Sengupta (eds) Poverty and Human Rights: Economic Perspectives, sponsored jointly by the Programme on Human Rights in Development, Harvard School of Public Health, the Centre for Development and Human Rights, New Delhi, and the Norwegian Centre for Human Rights of the University of Oslo, for UNESCO [publication forthcoming]
Paper 1909-2009 – Beatrice Webb and the Welfare State, for Fabian Society programme marking the centenary of the publication of the Royal Commission Minority Report on the Poor Law [publication forthcoming]
Titles of possible future books
*** A Year in the Life of a University Teacher
*** Child Rights, Child Poverty and Development
*** International Social Policy and Human Rights
*** The Impoverishment of Britain
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| SHEET NO. | NORTHING | EASTING | SHEET NO. | NORTHING | EASTING |
|----------|----------|---------|-----------|----------|---------|
| 1 | 238475.00| 1296496.00| 2 | 238475.00| 1296496.00|
| 2 | 238475.00| 1296496.00| 3 | 238475.00| 1296496.00|
| 3 | 238475.00| 1296496.00| 4 | 238475.00| 1296496.00|
| 4 | 238475.00| 1296496.00| 5 | 238475.00| 1296496.00|
| 5 | 238475.00| 1296496.00| 6 | 238475.00| 1296496.00|
| 6 | 238475.00| 1296496.00| 7 | 238475.00| 1296496.00|
| 7 | 238475.00| 1296496.00| 8 | 238475.00| 1296496.00|
| 8 | 238475.00| 1296496.00| 9 | 238475.00| 1296496.00|
| 9 | 238475.00| 1296496.00| 10 | 238475.00| 1296496.00|
| 10 | 238475.00| 1296496.00| 11 | 238475.00| 1296496.00|
| 11 | 238475.00| 1296496.00| 12 | 238475.00| 1296496.00|
| 12 | 238475.00| 1296496.00| 13 | 238475.00| 1296496.00|
| 13 | 238475.00| 1296496.00| 14 | 238475.00| 1296496.00|
| 14 | 238475.00| 1296496.00| 15 | 238475.00| 1296496.00|
**PROJECT SPECIFIC NOTES:**
- This map is intended for use in conjunction with the project description and the results of the survey. The map data set is not intended to be used for any other purpose.
- The map data set was created using the following data sources:
- **Topographic Data:** USGS 7.5-minute topographic quadrangle maps (1980-2000).
- **Hydrographic Data:** USGS 7.5-minute topographic quadrangle maps (1980-2000).
- **Orthophoto Data:** USGS 7.5-minute topographic quadrangle maps (1980-2000).
**REFERENCE DATA:**
- **EASTING:** 238475.00
- **NORTHING:** 1296496.00
- **ELEVATION:** 0.00
**LOCAL CONTROL DATA:**
- **EASTING:** 238475.00
- **NORTHING:** 1296496.00
- **ELEVATION:** 0.00
**SCALE:** 1:24,000
**DATE OF SURVEY:** 2/25/2021
**FIELD BOOK:** 1
**SHEET NO./FILE NO.:** 1/100
**LONG ISLAND HYDROGRAPHIC SHEET LAYOUT**
**CONDITION SURVEY**
**VH-101**
**SHEET 1 OF 55**
PROJECT SPECIFIC NOTES:
- THE INFORMATION ON THIS MAP REPRESENTS THE RESULTS OF 2017 FIELD SURVEYS AND IS CURRENT AS OF 2018.
- THE SURVEYING DATA REPRESENTS 2017 FIELD AND AIRBORNE SURVEY PROJECTS.
- THE COORDINATE SYSTEM USED FOR THIS MAP IS NAD 83 (2011) / UTM Zone 19S / WGS 84.
- THE ELEVATION DATA IS BASED ON NAVD 88.
- THE ELEVATIONS ARE SHOWN ABOVE OR BELOW THE MEAN GROUND WATER LEVEL.
- THE ELEVATIONS ARE SHOWN ABOVE OR BELOW NAVD 88.
LONG ISLAND INFRACOSTAL
VICINITY OF PATCHOGUE, N.Y.
CONDITION SURVEY
LOCAL CONTROL DATA
ELEVATION: 5' (FEDERAL)
ELEVATION: 5' (FEDERAL)
MAPS BENCHMARK
ELEVATION: 5' (FEDERAL)
ELEVATION: 5' (FEDERAL)
SCALE: 1:6,000
DATE OF SURVEY: 2017
FIELD SURVEY: 2017
FIELD CHECK: 2017
RED MATERIAL: 2017
VH-106
SHEET 6 OF 55
PROJECT HYDRAULIC MODEL:
THE HYDRAULIC MODEL FOR THE LONG ISLAND SOUND PROJECT WAS DEVELOPED BY THE U.S. ARMY CORPS OF ENGINEERS, NEW YORK DISTRICT, IN COOPERATION WITH THE PORT AUTHORITY OF NEW YORK AND NEW JERSEY. THE MODEL WAS USED TO SIMULATE THE FLOW OF WATER THROUGH THE BAY AND ESTUARY.
LOCAL CONTROL DATA:
BODHANOWSKI LIGHT (FID 164075)
ELEVATION: 3.19 (NAVD 1988)
LONG ISLAND HYDRAULIC MODEL:
VELOCITY OF PATCHOGUE BAY, N.Y.
CONDITION SURVEY
VH-107
SHEET 7 OF 55
SCALE: 1:24,000
DATE OF SURVEY: 12 AUG - 16 SEP 2021
FIELD DATE: 14 AUG - 16 SEP 2021
AREA: 104.4 SQ MILES
SCALE: 1:24,000
DATE: 12 AUG - 16 SEP 2021
FIELD DATE: 14 AUG - 16 SEP 2021
AREA: 104.4 SQ MILES
PROJECT HYDRAULIC MODEL:
THE HYDRAULIC MODEL FOR THE LONG ISLAND SOUND PROJECT WAS DEVELOPED BY THE U.S. ARMY CORPS OF ENGINEERS, NEW YORK DISTRICT, IN COOPERATION WITH THE PORT AUTHORITY OF NEW YORK AND NEW JERSEY. THE MODEL WAS USED TO SIMULATE THE FLOW OF WATER THROUGH THE BAY AND ESTUARY.
LOCAL CONTROL DATA:
BODHANOWSKI LIGHT (FID 164075)
ELEVATION: 3.19 (NAVD 1988)
LONG ISLAND HYDRAULIC MODEL:
VELOCITY OF PATCHOGUE BAY, N.Y.
CONDITION SURVEY
VH-107
SHEET 7 OF 55
SCALE: 1:24,000
DATE OF SURVEY: 12 AUG - 16 SEP 2021
FIELD DATE: 14 AUG - 16 SEP 2021
AREA: 104.4 SQ MILES
SCALE: 1:24,000
DATE: 12 AUG - 16 SEP 2021
FIELD DATE: 14 AUG - 16 SEP 2021
AREA: 104.4 SQ MILES
PROJECT SPECIFIC NOTES:
- THE INFORMATION PRESENTED ON THIS MAP REPRESENTS THE RESULTS OF A SURVEY CONDUCTED BY THE U.S. ARMY CORPS OF ENGINEERS, NEW YORK DISTRICT, IN FEBRUARY 2013.
- THE COORDINATE DATA CONTAINED ON THIS MAP WAS COLLECTED USING PROJECT CONTROL POINTS THAT ARE REFERENCED TO THE NAD83 (NORTH AMERICAN 1983) COORDINATE SYSTEM AND WGS84 (WORLD GEODETIC SYSTEM 1984).
- COORDINATES ON THIS MAP REFER TO THE PLANE OF MEAN LOWER LOW WATER (MLLW) AS DETERMINED FROM NAVD88 (NORTH AMERICAN VERTICAL DATUM OF 1988).
- COORDINATES ON THIS MAP REFER TO A GRID OF 100 FEET X 100 FEET.
- THE DATA PRESENTED ON THIS MAP SHOULD NOT BE USED FOR VOLUME CALCULATIONS.
- AERIAL IMAGES PROVIDED BY NY STATE AERIAL IMAGERY (2005).
- THE DATA PRESENTED ON THIS MAP WAS COLLECTED USING REAL TIME KINEMATIC GPS.
- THE DATA PRESENTED ON THIS MAP WAS COLLECTED USING REAL TIME KINEMATIC GPS.
- THE DATA PRESENTED ON THIS MAP WAS COLLECTED USING REAL TIME KINEMATIC GPS.
LONG ISLAND INTRACOASTAL WATERWAY - N.Y.
VICINITY OF PATCHOGUE BAY, N.Y.
CONDITION SURVEY
VH-112
SHEET 12 OF 55
USACE NO. 47-22.214.171.124.042
PROJECT SPECIFIC NOTES:
- THE INFORMATION ON THIS MAP IS FOR GENERAL REFERENCE ONLY AND IS NOT TO BE USED FOR NAVIGATION OR OTHER PURPOSES.
- THE INFORMATION ON THIS MAP IS FOR GENERAL REFERENCE ONLY AND IS NOT TO BE USED FOR NAVIGATION OR OTHER PURPOSES.
- THE INFORMATION ON THIS MAP IS FOR GENERAL REFERENCE ONLY AND IS NOT TO BE USED FOR NAVIGATION OR OTHER PURPOSES.
ISLAND INTRACOSTAL VICINITY OF BELLEPORT, N.Y.T.
CONDITION SURVEY
VH-113
SHEET 11 OF 50
LONGITUDE: 74° 26' 18.9" W
LATITUDE: 40° 30' 15.1" N
ELEVATION: 10.0 FT MSL (NAVD 88)
LOCAL CONTROL DATA
ELEVATION: 10.0 FT MSL (NAVD 88)
PROJECT SPECIFIC NOTES:
- THE INFORMATION ON THIS MAP IS FOR GENERAL REFERENCE ONLY AND IS NOT TO BE USED FOR NAVIGATION OR OTHER PURPOSES.
- THE INFORMATION ON THIS MAP IS FOR GENERAL REFERENCE ONLY AND IS NOT TO BE USED FOR NAVIGATION OR OTHER PURPOSES.
- THE INFORMATION ON THIS MAP IS FOR GENERAL REFERENCE ONLY AND IS NOT TO BE USED FOR NAVIGATION OR OTHER PURPOSES.
ISLAND INTRACOSTAL VICINITY OF BELLEPORT, N.Y.T.
CONDITION SURVEY
VH-113
SHEET 11 OF 50
LONGITUDE: 74° 26' 18.9" W
LATITUDE: 40° 30' 15.1" N
ELEVATION: 10.0 FT MSL (NAVD 88)
LOCAL CONTROL DATA
ELEVATION: 10.0 FT MSL (NAVD 88)
PRODUCT SPECIFIC NOTES:
THE INFORMATION PRESENTED ON THIS MAP REPRESENTS THE RESULTS OF AN ENGINEERING AND DESIGN PROJECT AND, FOR THAT REASON, THE CONTENTS OF THIS MAP ARE NOT TO BE CONSIDERED AS A STATEMENT OF THE CORRECT CLASSIFICATION OF GENERAL, AS SPECIFIED IN THE MAP STANDARDS.
THIS MAP WAS DRAWN USING THE U.S. COAST SURVEY 1983 (NORTH AMERICAN VERTICAL) DATUM AND THE U.S. GEODETIC SYSTEM 1983. COORDINATES ARE IN FEET (U.S. NATIONAL GRID). ELEVATIONS ARE IN FEET ABOVE THE ELLIPSOID. THE ELEVATION IS THAT OF MAIN LOWER LOW WATER (M.L.L.W.) AT THE LOCATION OF THE BENCHMARK.
MAP SCALE: 1:24,000
SCALE OF MAP DATA: 1:24,000 FEET BELOW NAVOBS
"CONTOURS ON THIS MAP HAVE BEEN EDITED TO A SMOOTHER APPEARANCE FOR VISUAL PRESENTATION PURPOSES."
MAP DATA WAS PROVIDED BY NY STATE GIS COORDINATE 2000.
THE GEOMETRIES DEPICTED ON THIS MAP ARE FOR ORIENTATION PURPOSES ONLY.
THIS MAP WAS DRAWN USING REAL TIME KINEMATIC GPS AND 1:24,000 SCALE AERIAL PHOTO IN ACCORDANCE WITH LR 1110-5-1002 AND LR 7110.1-1-1002.
LONG ISLAND INTRACOSTAL VICINITY OF BELLPORt BAY, N.Y.
VH-116
SHEET 16 OF 55
PROJECT SPECIFIC NOTES:
- THE DATA ON THIS MAP IS FOR INFORMATIONAL PURPOSES ONLY AND DOES NOT REPRESENT THE RESULTS OF ANY SURVEY OR MEASUREMENT.
- THE SURVEYED DATA PRESENTED ON THIS MAP MAY BE USED ONLY DURING PROJECT CONSTRUCTION AND SHOULD NOT BE USED FOR OTHER PURPOSES.
- COORDINATE SYSTEM IS NAD 83 (WGS 84) AND CONFORMS TO UTM ZONE 18N.
- COORDINATE SYSTEM IS NAD 27 AND CONFORMS TO THE PLANE OF MEAN LOW LOW WATER.
- ALL ELEVATIONS ARE ABOVE NAVD 88 AND ARE 0.5 FEET BELOW NAVD 88.
- ALL DISTANCES ARE IN FEET AND ARE 0.5 FEET BELOW NAVD 88.
- COORDINATE SYSTEM IS NAD 83 (WGS 84) AND CONFORMS TO UTM ZONE 18N.
- COORDINATE SYSTEM IS NAD 27 AND CONFORMS TO THE PLANE OF MEAN LOW LOW WATER.
- THE DATA PRESENTED ON THIS MAP SHOULD NOT BE USED FOR VOLUMES.
- VERTICAL ELEVATION IS MEASURED BY NAVD 88.
- VERTICAL ELEVATION IS MEASURED BY NAVD 88.
- THE DATA PRESENTED ON THIS MAP SHOULD NOT BE USED FOR VOLUMES.
- VERTICAL ELEVATION IS MEASURED BY NAVD 88.
LONGITUDINAL SECTION
LOCATION: 100 FT EAST OF THE JUNCTION OF STATE ROUTE 103 AND COUNTY ROAD 103.
SCALE: 1:6,000
DATE OF SURVEY: 16 APR 2001
FIELD NOTES:
RED MATERIAL: NEW MATERIAL
BLACK MATERIAL: OLD MATERIAL
LOCAL CONTROL DATA
ELEVATION: 10.03 (FEET NAVD 88)
ELEVATION: 9.54 (FEET NAVD 88)
VH-117
SHEET 17 OF 55
PROJECT SPECIFIC NOTES:
- THE INFORMATION ON THIS SHEET IS FOR GENERAL REFERENCE ONLY. THE FIELDS ARE AS OF THE DATE SHOWN. THE DATA IS NOT CURRENT AND SHOULD NOT BE USED FOR DESIGN OR CONSTRUCTION PURPOSES.
- THE ELEVATIONS ARE BASED ON THE 1985 NATIONAL DATUM (NAD83) AND THE 1929 NORTH AMERICAN VERTICAL DATUM (NAVD29).
- THE ELEVATIONS ARE MEASURED TO THE PLANE OF MEAN LOWER LOW WATER (MLLW) AND ARE BASED ON A TIDE GAUGE AT 10 FEET BELOW NAVOBB.
- THE ELEVATIONS ARE BASED ON A TIDE GAUGE AT 10 FEET BELOW NAVOBB.
- THE ELEVATIONS ARE BASED ON A TIDE GAUGE AT 10 FEET BELOW NAVOBB.
LOCAL CONTROL DATA:
- BENCHMARK: MBO (C) (FEDERATED)
- ELEVATION: NAVOBB (1988)
BENCHMARK: LBI 38938
ELEVATION: 16.457 (NAVD 1988)
PROJECT SPECIFIC NOTES:
- The data shown on this map represents the results of a survey conducted by the U.S. Army Corps of Engineers, Long Island District, on 14 AUG 2001 at 12:30 PM.
- The project area is located in the vicinity of NARROW BAY.
- The data was collected using project-specific equipment and procedures.
- The data was collected to determine the depth of water in the project area.
- The data was collected to determine the depth of water in the project area.
NORTH BENCHMARK
- DESCRIPTION: NORTH BENCH
- ELEVATION: 4.00' NAVD 1988
LOCAL CONTROL DATA
- DESCRIPTION: NICKERON ROCK
- ELEVATION: 3.50' NAVD 1988
LONG ISLAND INTRACOASTAL WETLANDS VICINITY OF FIDGE POINT - NY - CONDITION SURVEY
VH-123
SHEET 23 OF 55
RSN NO: TLZ-MG-L-TAD
PROJECT NAME/PROJECT NUMBER:
THE PROJECT ON THIS MAP IS A PARTIAL FILL PROJECT IN THE TOWNSHIP OF STONY BROOK, MONROE COUNTY, NEW YORK.
PROJECT LOCATION:
LATITUDE: 41°09'52" N
LONGITUDE: 73°46'18" W
MAP NO. 11055500-01
SCALE:
1" = 100 FT
1" = 1000 FT
DATE OF ISSUE:
12 AUGUST 2017
PROJECT DATA:
PROJECT NO.: 11055500-01
PROJECT DATE: 12 AUG 2017
PROJECT NO. 11055500-01
ELEVATION:
MORICHES BAY (FIDALGOST)
ELEVATION: 4.44' (NAVD 1988)
LOCAL CONTROL DATA:
MORICHES ARBORING AREA
ELEVATION: 5.54' (NAVD 1988)
USING LONGITUDINAL VICTORY OF FORCE POINT, N.Y., CONDITION SURVEY
VH-124
SHEET 24 OF 55
PROJECT NOTES:
THE INFORMATION ON THIS MAP IS FOR GENERAL REFERENCE ONLY. THE INFORMATION SHOWN ON THIS MAP IS NOT TO BE USED FOR NAVIGATION OR CONSTRUCTION PURPOSES.
AERIAL IMAGES PROVIDED BY NY STATE ETL CLEARMAPHOUSE 2005.
THE OBJECTS SHOWN ON THIS MAP ARE FOR ORIENTATION PURPOSES ONLY.
THIS MAP WAS PREPARED USING REAL TIME KINEMATIC GPS
TOLERANCES OF ±1.5 FEET, ±1.5 FEET IN ACCORDANCE WITH ER 1110-01-060
±1.5' (±1.5') ±1.5' (±1.5')
MORICHES BAY
HARS BENCHMARK
DESCRIPTION: MORICHES (FEDERAL)
ELEVATION: MHW 70.68' (1994)
LOCAL CONTROL DATA
DESCRIPTION: JACKSON CREEK
ELEVATION: 3.50' (1994)
PROJECT SPECIFIC NOTES:
- THE INFORMATION ON THIS MAP IS FOR GENERAL REFERENCE ONLY. THE FIELDS ARE NOT TO SCALE AND ARE FOR GENERAL LOCATION ONLY.
- THE COORDINATES FOR THE HARS BENCHMARKS ARE AS FOLLOWS:
- (15° 09' 21.5" N, 72° 02' 31.0" W) FOR 70.68' ELEVATION (MHW 1994)
- (15° 09' 21.5" N, 72° 02' 31.0" W) FOR 3.50' ELEVATION (MHW 1994)
- THE ELEVATIONS ARE MEASURED TO THE PLANE OF MEAN LOWER LOW WATER (M.L.L.W.) AND ARE BASED ON NAVOBS 1994.
- THE ELEVATIONS ARE BASED ON NAVOBS 1994.
- THE ELEVATIONS ARE BASED ON NAVOBS 1994.
LONGITUDINAL SECTION
VICINITY OF CENTER MORICHES N.Y.
CONDITION SURVEY
VH-126
SHEET 26 OF 55
PROJECT SPECIFIC NOTES:
THE INFORMATION ON THIS SHEET IS PREPARED AND PUBLISHED FOR THE BENEFIT OF THE UNITED STATES ARMY CORPS OF ENGINEERS, NEW YORK DISTRICT. THE DATA ON THIS MAP WAS DERIVED FROM THE MAP DATA SET: LONG ISLAND INTRACOASTAL WATERSWY, VICINITY OF PATROGLIE, N.Y., CONDITION SURVEY, VH-132, SHEET 32 OF 58, SCALE ONE INCH TO ONE MILE, 1986. THE DATA ON THIS MAP WAS DERIVED FROM THE MAP DATA SET: LONG ISLAND INTRACOASTAL WATERSWY, VICINITY OF PATROGLIE, N.Y., CONDITION SURVEY, VH-132, SHEET 32 OF 58, SCALE ONE INCH TO ONE MILE, 1986.
HORS DESIGNATION:
SUBCOURSE: MORICHES (F0136A007)
ELEVATION: F.M.E.: NAVD 1988
LOCAL CONTROL DATA:
SUBCOURSE: MORICHES (F0136A007)
ELEVATION: F.M.E.: NAVD 1988
LONG ISLAND INTRACOASTAL WATERSWY, VICINITY OF PATROGLIE, N.Y., CONDITION SURVEY
VH-132
SHEET 32 OF 58
SCALE: ONE INCH TO ONE MILE, 1986
PROJECT LOCATION:
LONG ISLAND INTRACOASTAL WATERSWY, VICINITY OF PATROGLIE, N.Y., CONDITION SURVEY, VH-132, SHEET 32 OF 58, SCALE ONE INCH TO ONE MILE, 1986.
PROJECT SPECIFIC NOTES:
- THE INFORMATION ON THIS MAP IS FOR GENERAL REFERENCE ONLY. THE DATA IS NOT INTENDED TO BE USED FOR NAVIGATION OR OTHER PURPOSES.
- THE DATA ON THIS MAP WAS GENERATED USING THE MAP TOPOLOGY AND THE 1983 NEW YORK STATE STANDARD DATUM.
- AERIAL IMAGERY PROVIDED BY NY STATE GIS CLEARINGHOUSE 2020.
- THE DATA ON THIS MAP ARE FOR ORIENTATION PURPOSES ONLY.
- THIS MAP WAS CREATED USING REAL TIME KINEMATIC GPS SURVEYING.
- THIS MAP WAS LAST UPDATED IN ACCORDANCE WITH CR 1101-01-0163.
LONG ISLAND INTRACOASTAL VICINITY OF PATROUILLE, N.Y.
CONDITION SURVEY
VH-134
SHEET 34 OF 55
RDS NO.-FILE NO. 5460
PROJECT SPECIFIC NOTES:
- THE LINEWORK ON THIS MAP IS NOT TO BE USED FOR NAVIGATION OR AS A REFERENCE FOR ANY OTHER PURPOSE.
- THE ELEVATIONS SHOWN ARE BASED ON THE 1929 NAVY TIDE TABLE AND THE 1953 NAVY TIDE TABLE.
- THE ELEVATIONS SHOWN ARE BASED ON THE 1929 NAVY TIDE TABLE AND THE 1953 NAVY TIDE TABLE.
- THE ELEVATIONS SHOWN ARE BASED ON THE 1929 NAVY TIDE TABLE AND THE 1953 NAVY TIDE TABLE.
LONG ISLAND INFRACOSTAL
VICINITY OF PATOSSET, N.Y.
CONDITION SURVEY
VH-136
SHEET 34 OF 50
THE DATA SHOWN ON THIS MAP ARE THE RESULT OF A SURVEY CONDUCTED BY THE U.S. ARMY CORPS OF ENGINEERS, NEW YORK DISTRICT, AND ARE NOT TO BE USED FOR NAVIGATION OR OTHER PURPOSES.
COORDINATE SYSTEM: NAD 1983 (WGS 84) / UTM ZONE 18N
ELEVATIONS ARE FEET MSL AND REFER TO THE PLANE OF NEW LONDON LOW WATER MARK (NLLWM) AS DEFINED IN THE 2015 U.S. COASTAL ZONE MANAGEMENT PROGRAM (CZMP) REPORT.
SCALE: 1:6,000
DATE OF SURVEY: 29 APR 2021
FIELD NOTES:
DATA SOURCE: 2021-2022 LONG ISLAND INFRACOASTAL VICTIMITY OF TALBOTVILLE, N.Y. CONDITION SURVEY
VH-138
SHEET 38 OF 50
RES NO: FILE MD-1540
PRODUCT SPECIFIC NOTES:
- THE DATA SHOWN ON THIS MAP IS FOR INFORMATION PURPOSES ONLY AND IS NOT INTENDED FOR USE IN DESIGN, CONSTRUCTION, OR MAINTENANCE OF ANY STRUCTURE OR FACILITY. THE DATA IS PROVIDED "AS IS" WITHOUT WARRANTY OF ANY KIND, EITHER EXPRESS OR IMPLIED, INCLUDING BUT NOT LIMITED TO WARRANTIES OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE, OR NON-INFRINGEMENT. THE USER ASSUMES ALL RISKS AND LIABILITY FOR USE OF THE DATA.
- THE DATA SHOWN ON THIS MAP IS BASED ON THE SURVEYING SYSTEM AND METHODS USED AT THE TIME OF THE SURVEY. THE DATA MAY NOT BE CURRENT AND SHOULD NOT BE USED FOR DECISIONS THAT REQUIRE CURRENT AND ACCURATE DATA.
- THE DATA SHOWN ON THIS MAP IS FOR INFORMATION PURPOSES ONLY AND IS NOT INTENDED FOR USE IN DESIGN, CONSTRUCTION, OR MAINTENANCE OF ANY STRUCTURE OR FACILITY. THE DATA IS PROVIDED "AS IS" WITHOUT WARRANTY OF ANY KIND, EITHER EXPRESS OR IMPLIED, INCLUDING BUT NOT LIMITED TO WARRANTIES OF MERCHANTABILITY, FITNESS FOR A PARTICULAR PURPOSE, OR NON-INFRINGEMENT. THE USER ASSUMES ALL RISKS AND LIABILITY FOR USE OF THE DATA.
- THE DATA SHOWN ON THIS MAP IS BASED ON THE SURVEYING SYSTEM AND METHODS USED AT THE TIME OF THE SURVEY. THE DATA MAY NOT BE CURRENT AND SHOULD NOT BE USED FOR DECISIONS THAT REQUIRE CURRENT AND ACCURATE DATA.
SURVEYED BY: U.S. ARMY CORPS OF ENGINEERS
DATE: 02/15/2023
SCALE: 1:4800
FIELD BOOK: VH-141
DATE: 02/15/2023
SCALE: 1:4800
LONG ISLAND COASTAL WATERSHED, N.Y.
VICINITY OF PATCHOULI, N.Y.
CONDITION SURVEY
VH-141
SHEET 41 OF 55
MAP NO. 111-11-17
PROJECT SPECIFIC NOTES:
- This map is for general planning purposes only and should not be used for precise engineering design or construction. The data on this map is based on the best available information at the time of publication and may not reflect current conditions.
- The data displayed on this map should not be used for volume calculations without further verification.
- The map was produced by the U.S. Army Corps of Engineers, New York District, using project specific data.
MRS DESIGNATION:
- Benchmark: M01 (HCS) (F01048375)
- Elevation: 4.00' NAVD 1988
LOCAL CONTROL DATA:
- Benchmark: M02 (HCS) (F01048376)
- Elevation: 3.00' NAVD 1988
SCALE:
- 1" = 100 FT
DATE OF SURVEY:
- 02/28/2018
FIELD NOTES:
- N/A
VH-142
SHEET 42 OF 55
PROJECT SPECIFIC NOTES:
- THE INFORMATION ON THIS SHEET ONLY IS THAT MAP REPRESENTS THE RESULTS OF A SURVEY CONDUCTED IN ACCORDANCE WITH THE STANDARDS OF THE CORPS OF ENGINEERS, WEST POINT, NEW YORK.
- THE GEODETIC DATA REFLECTED ON THIS MAP WAS COLLECTED USING PROJECT CONTROL DATA.
- COORDINATE SYSTEM: WGS 84 (WORLD GEODETIC SYSTEM NO. 1984).
- ELEVATION SYSTEM: NAVY (NAVD 88) AND NAVY (NAVD 29).
- ELEVATIONS ARE REFERENCED TO THE PLANE OF MEAN LOWER LOW WATER AS DEFINED BY THE NATIONAL OCEANIC AND ATMOSPHERIC ADMINISTRATION AS THE NAVD 88 (NAVD 29) ELLIPSOID.
- THE DATA ON THIS MAP HAS BEEN SUPPLIED TO A THIRD PARTY FOR USE.
- CONTURS ON THIS MAP WERE GENERATED USING THE MAP DATA SET.
- THE DATA REFLECTED ON THIS MAP SHOULD NOT BE USED FOR VOLUMES, AREAS, OR DISTANCES UNLESS THE DATA HAS BEEN VERIFIED.
- THE ANNOTATIONS REFLECTED ON THIS MAP ARE FOR ILLUSTRATION PURPOSES ONLY.
- THIS GRAPHIC WAS CREATED USING REAL TIME KINEMATIC GPS.
- THIS MAP IS NOT COMPLIANT IN ACCORDANCE WITH ER 1110-2-1060.
NGS GROUNDMARK
BENCHMARK: WEST BAY BRIDGE
ELEVATION: 4.050' (NAVD 88)
USACE CONTROL DATA
BENCHMARK: WEST BAY BRIDGE
ELEVATION: 5.250' (NAVD 1988)
SCALE: 1" = 100 FT
DATE OF SURVEY: 30 AUGUST 2021
FIELD ID: D04K1
SURVEYOR: J. R. ROSS
DATE OF ISSUE: 03 SEP 2021
LONG ISLAND HYDROGEOLOGICAL
MAP SERIES
VICINITY OF PATTENHOUSE, N.Y.
CONDITION SURVEY
VH-143
SHEET 43 OF 55
REVISED 06/17/2021
PROJECT SPECIFIC NOTES:
- ALL DATA ON THIS MAP IS IN THE HMT DATUM AND 1983 WGS COORDINATE SYSTEM.
- THE SHORELINE DATA DEPICTED ON THIS MAP WAS COLLECTED USING PROJECT CLASSIFIED SURVEY DATA.
- COORDINATES REFER TO US SPECTRA PLANE COORDINATE SYSTEM AND TIMES, WHICH ARE BASED ON THE 1983 WORLD GEODETIC SYSTEM (WGS) AND THE 1980 WORLD GEODETIC SYSTEM (WGS).
- THE SHORELINE DATA IS REFERENCED TO THE MEAN LOW WATER (MLW) ELEVATION OF 2.5 FEET (0.76 METER) ABOVE NAVD 88.
- THE SHORELINE DATA IS REFERENCED TO A 1983 WGS COORDINATE SYSTEM.
- CONTINENTS ON THIS MAP WERE GENERATED USING THE HMT DATA SET.
- THE DATA SET USED IN THIS MAP SHOULD NOT BE USED FOR VOLUME CALCULATIONS.
- GENERAL NOTES: THIS MAP IS FOR INFORMATIONAL PURPOSES ONLY.
- THE HYDROGRAPHICS DEPICTED ON THIS MAP ARE FOR ILLUSTRATION PURPOSES ONLY.
- FIELD DATA WAS ACQUIRED USING REAL TIME KINEMATIC GPS.
- THIS MAP IS NOT DRAWN TO SCALE.
- THIS MAP IS ALSO COMPLIANT IN ACCORDANCE WITH CR 1110-2-8140 AND NTS 1100.1.
LONG ISLAND INTRACOASTAL VICINITY OF PATROUILLE, N.Y.S.
CONDITION SURVEY
VH-144
SHEET 44 OF 55
NASS BENCHMARK
- DESIGNATED: MORDELS (P01)AB073
- ELEVATION: 6.00' NAVD 1988
LOCAL CONTROL DATA
- DESIGNATED: WEST DAY BRIDGE
- ELEVATION: 3.00' NAVD 1988
- DESIGNATED: FINE INLET POINT
- ELEVATION: 3.00' NAVD 1988
PROJECT SPECIFIC NOTES:
- THE COASTAL DATA (TIDE, WAVE, AND CURRENT) ARE COMPUTED BY USING THE GENERAL CONDITIONS (WIND, TIDE, AND CURRENT).
- THE SURFACES DATA (HEIGHT) ON THIS MAP WAS COLLECTED USING PROJECT SPECIFIC SURFACE DATA (SLOPE, WAVE, AND CURRENT) AND THE GENERAL CONDITIONS (WIND, TIDE, AND CURRENT).
- THE WATER LEVELS (TIDE) ON THIS MAP ARE FOR REFERENCE ONLY AND DO NOT REPRESENT THE ACTUAL WATER LEVELS.
- THE WATER LEVELS (TIDE) ON THIS MAP ARE FOR REFERENCE ONLY AND DO NOT REPRESENT THE ACTUAL WATER LEVELS.
HIGHS BENCHMARK:
- LOCATION: MONTAUK (NY)
- ELEVATION: 3.00 FT NAVD88
LOWS BENCHMARK:
- LOCATION: FINE SAND POINT
- ELEVATION: 3.00 FT NAVD88
LONG ISLAND INFRACOASTAL VICINITY OF PATROOSIE, N.Y.
CONDITION SURVEY
VH-146
SHEET 46 OF 55
PROJECT SPECIFIC NOTES:
- THE INFORMATION PRESENTED ON THIS MAP REPRESENTS THE RESULTS OF A SURVEY CONDUCTED IN ACCORDANCE WITH THE CORPS OF ENGINEERS' STANDARD SURVEYING PROCEDURE (COP 1000-1).
- THE SURVEY DATA WAS COLLECTED AND THE MAP WAS CREATED USING PROJECT CONTROL SURVEYS CONDUCTED USING THE COASTAL GEODETIC SYSTEM AND 1985 CONVENTIONAL NAVIGATION BREADTHS.
- CONTINUED ON THIS MAP REFER TO THE PLANE OF MEAN LOWER LOW WATER MARKS AS REFERENCE POINTS.
- THE ELEVATION IS 22 FEET BELOW NAVOGE.
- THE ELEVATION IS 22 FEET BELOW NAVOGE.
- CONTINUED ON THIS MAP REFER TO THE PLANE OF MEAN LOWER LOW WATER MARKS AS REFERENCE POINTS.
LONG ISLAND INTRACOASTAL VICINITY OF FINE RIVER, N.Y.
CONDITION SURVEY
| LOCAL REFERENCE |
|------------------|
| BEGINNINGS: MONTAUK POINT (PT 6340007) |
| ELEVATION: 22 FEET NAVOGE |
| LOCAL CONTROL DATA |
|--------------------|
| BEGINNINGS: FINE RIVER POINT |
| ELEVATION: 22 FEET NAVOGE |
| SHEET 47 OF 55 |
PROJECT LOCATION NOTES:
- THE SHINNECOCK BAY FILL PROJECT AREA IS LOCATED IN THE TOWN OF PINE NECK, SOUTHAMPTON COUNTY, LONG ISLAND, NEW YORK.
- THE SHINNECOCK BAY FILL PROJECT AREA IS LOCATED IN THE TOWN OF PINE NECK, SOUTHAMPTON COUNTY, LONG ISLAND, NEW YORK.
- THE SHINNECOCK BAY FILL PROJECT AREA IS LOCATED IN THE TOWN OF PINE NECK, SOUTHAMPTON COUNTY, LONG ISLAND, NEW YORK.
SCALE 1:24000
LONG ISLAND INTRACOASTAL VICINITY OF PINE NECK CONDITION SURVEY
MAPS BENCHMARKS:
- ELEVATION: MOW (GWS) (FEDERATED)
- ELEVATION: NAVD 1988
LOCAL CONTROL DATA:
- ELEVATION: PINE NECK POINT
- ELEVATION: NAVD 1988
VH-148
SHEET 48 OF 55
RES NO.-FILE NO. 5465
PROJECT SPECIFIC NOTES:
- USACE (US Army Corps of Engineers) is responsible for the design and construction of the project.
- The project is located in the Long Island Inlet Intracoastal Waterway.
- The project is being constructed to improve navigation and reduce erosion.
MAPS DESIGNATION:
- LONG ISLAND INTRACOASTAL WATERWAY VICINITY OF FINE RICK POINT CONDITION SURVEY
LOCAL CONTROL DATA:
- ELEVATION: 5.00' NAVD 1988
PROJECT SPECIFIC NOTES:
- USACE (US Army Corps of Engineers) is responsible for the design and construction of the project.
- The project is located in the Long Island Inlet Intracoastal Waterway.
- The project is being constructed to improve navigation and reduce erosion.
MAPS DESIGNATION:
- LONG ISLAND INTRACOASTAL WATERWAY VICINITY OF FINE RICK POINT CONDITION SURVEY
LOCAL CONTROL DATA:
- ELEVATION: 5.00' NAVD 1988
LONG ISLAND HYDROLOGICAL VICINITY OF PATHOQUE, N.Y.
CONDITION SURVEY
VH-151
SHEET 51 OF 55
DEPARTMENT OF THE ARMY
U.S. ARMY CORPS OF ENGINEERS
NEW YORK DISTRICT
HYDROGRAPHIC OFFICE
LOCAL CONTROL DATA
BENCHMARK: SHINNECOCK C.G.
ELEVATION: 3.46 (NAVD 1988)
BENCHMARK: SHINNECOCK C.G.
ELEVATION: 3.46 (NAVD 1988)
PROJECT SPECIFIC NOTES:
- THE DATA SHOWN ON THIS MAP IS FOR GENERAL REFERENCE ONLY. THE DETAILS OF THE LOCATION AND SIZE OF THE FEATURES SHOWN ARE NOT ACCURATE.
- THE DATA SHOWN ON THIS MAP WAS COLLECTED IN SUPPORT OF THE LONG ISLAND INTRACOASTAL WETLANDS CONDITION SURVEY AND TOOLS DEVELOPING PROJECT.
- COORDINATES REFER TO THE PLANAR GEOGRAPHIC SYSTEM NAD 1983.
- DISTANCES ON THIS MAP REFER TO THE PLANE OF MEAN LOWER LOW WATER (MLLW) AND ARE BASED ON 0.75 TO 1.00 FEET BELOW MSL.
- COORDINATES ARE IN UTM GRID ZONE 18N, NORTH AMERICAN DATUM OF 1983.
- COORDINATES ARE IN UTM GRID ZONE 18N, NORTH AMERICAN DATUM OF 1983.
- COORDINATES ARE IN UTM GRID ZONE 18N, NORTH AMERICAN DATUM OF 1983.
LONG ISLAND INTRACOASTAL VICINITY OF PATROOSIE, N.Y.
CONDITION SURVEY
LOCAL CONTROL DATA
REFERENCE: USGS TOPOGRAPHIC MAP
ELEVATION: S.L.W. NAVD 1988
VH-152
SHEET 52 OF 55
PROJECT SPECIFIC NOTES:
THE INFORMATION ON THIS MAP REPRESENTS THE RESULTS OF A SURVEY CONDUCTED IN ACCORDANCE WITH THE 1983 NATIONAL COASTAL SURVEY STANDARD.
THE COASTAL DATA PORTION OF THIS MAP WAS COLLECTED USING PROJECT SPECIFIC SURVEY DATA AND THE 1983 NATIONAL COASTAL SURVEY STANDARD.
COORDINATES ARE IN U.S.G.S. ALASKA COORDINATE SYSTEM AND 1983 NATIONAL COASTAL SURVEY STANDARD.
COORDINATES OF THIS MAP REFER TO THE PLANE IS MEAN LOW WATER (MLW) AND THE ELEVATION IS MEAN SEA LEVEL (MSL).
AS THE SURVEY DATA WAS COLLECTED AT A TIME WHEN THE WATER LEVEL WAS LOWER THAN NORMAL, THE ELEVATIONS HAVE BEEN ADJUSTED TO A NORMAL WATER LEVEL.
THIS MAP WAS CREATED USING THE MAP DATA SET.
THE DATA PROVIDED ON THIS MAP SHOULD NOT BE USED FOR VOLUMETRIC CALCULATIONS.
COASTAL IMAGES PROVIDED BY NY STATE GIS STANDARDIZED DIGITAL COASTAL IMAGERY.
THIS MAP WAS CREATED USING REAL TIME KINEMATIC GPS.
THIS MAP WAS CREATED USING REAL TIME KINEMATIC GPS.
THIS MAP IS NOT COMPLIANT IN ACCORDANCE WITH ER 1110-2-8163 AND IS NOT TO BE USED FOR VOLUMETRIC CALCULATIONS.
LONG ISLAND INTRACOASTAL VICINITY OF PATROOSIE, N.Y.
CONDITION SURVEY
MAPS BENCHMARK:
ELEVATION: MSL (FEET/AMSL)
ELEVATION: MSL (FEET/AMSL)
LOCAL CONTROL DATA
BENCHMARK: UNMARKED, S.L.
ELEVATION: SCALE: ABOVE TIDE
VH-154
SHEET 54 OF 55
RES NO-FILE NO. 5400
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Wayside Improvement Cycle
* Annual review and prioritization of wayside bicycle access and parking plan (BAPP) project list
* Based on initial projects and criteria established in 2014 BAPP Implementation Plan
* Used as basis for annual capital budget funding request
2
1
FY 2017 Wayside Improvement Funding Cycle - Process
* Reviewed FY2016 project list and scores from prior year (December BAC)
* BAC provided input and suggestions to improve prior year's project list (December BAC)
* Staff submitted placeholder to FY2017 budget
* Staff developed FY2017 recommendation for BAC review
Initial input heard from BAC
* Plan for the future (think about increasing ridership, changing modes of station access)
* Look at security improvements (lighting and cameras)
* Consider utilizing surface parking for bike facilities
* Consider bike rack relocations
* Bike parking capacity concerns at specific stations including San Jose, San Mateo
3
4
2
FY2017 - Challenge
5
• Many projects on BAPP project list have funding
• Technical review and implementation still ongoing
• Bike Parking Management Plan starting
−Will result in more forward-looking recommendations for bike parking type, location and administration
−Will likely modify / remove many existing projects from BAPP list and add new ones.
−Recommendations not ready for FY2017 but will be available for FY2018 cycle
−Staff preference to advance additional parking projects that are consistent with future plan recommendations
FY2017 - Recommendation
* Place reprioritization on hold
* Request $150K in FY2017 budget for the purposes of
−Leveraging grants / partner projects
−Funding future projects coming out of Bike Parking Management Plan
* Focus on completing FY2016 projects
* Comprehensively update BAPP list for FY2018 based on results of the Bike Parking Management Plan
* Continue with annual prioritization and funding cycle
6
3
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* Join PEAK Parent Center for online trainings on facilitative skills and communication strategies.
* Please register online for each webinar you wish to attend.
* More webinars in this series to come in March, April, and May.
Please visit PEAK Parent Center's website for additional information:
https://www.peakparent.org/events
917 East Moreno Ave., Ste. 140 Colorado Springs, CO 80903 719-531-9400
Co-Sponsor:
Free Trainings on Improving IEP Teams
Join other parents and educators
Tools for Improving IEP Teams: Active Listening
Tuesday, January 12, 2021
12:00-12:45 pm MDT
Register: https://bit.ly/IEPTOOLS0112
Strategic Questioning
Tuesday, January 19, 2021 12:00-12:45 pm MDT
Register: https://bit.ly/IEPTOOLS0119
Improving IEP Teams: Preparing for a Virtual IEP Meeting
Tuesday, January 26, 2021
12:00-1:00 pm MDT
Register: https://bit.ly/IEPTEAMS0126
These trainings will explore:
* CDE's Alternative Dispute Resolution Project and Special Education Facilitation.
* How facilitation skills can make EVERY meeting go better.
* How to participate more effectively in special education meetings.
Participants may register online or by phone: PEAK Parent Center 719-531-9400 Please register in advance.
|
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Environmantal simulation chambers
Environmental simulation chamber for cyclical temperature
The BINDER environmental simulation chamber of the MK series is suitable for heat or cold testing between -40 °C and 180 °C. The APT.line™ preheating chamber technology uniquely simulates a natural environment. For cyclical temperature testing, this environmental simulation chamber is a smart alternative to complex individual solutions.
Advantages:
State-of-the-art reliability
User-friendly chamber interior
Comprehensive standard equipment
Areas of application:
Electronics / Semiconductor Industry
Plastics Industry
22.11.2011
Features
Customer benefits
Characteristics
Electronically controlled APT.line™ preheating chamber assuring temperature accuracy and reproducible results
Temperature range of -40 °C to 180 °C
MCS controller with 25 storable programs of 100 sections each for a maximum of 500 program segments
User-friendly LCD screen
Easy-to-read menu guide
Integrated electronic chart recorder
Variety of options for the graphic display of process parameters
Real-time clock
Adjustable ramp function via program editor
Access port Ø 50 mm, left side
Heated viewing window with LED interior lighting
Temperature safety device class 2 (DIN 12880), with visual and audible temperature alarm
Ethernet interface for communication software APT-COM™ DataControlSystem
1 stainless steel rack
BINDER test confirmation
BINDER Communication software APT-COM™ 3 Basic Edition
MK 240 (E3.1)
Heating up and cooling down rate
Heat compensation
MK 240 (E3.1)
1) These values can be used for dimensioning air condition systems.
All technical data are specified for units with standard equipment at an ambient temperature of 25 °C and a line voltage fluctuation of ±10%. The temperature data is determined in accordance to factory standard following DIN 12880, respecting the recommended wall clearances of 10% of the height, width and depth of the inner chamber. All figures are typical average values for series devices. We reserve the right to alter technical specifications at any time.
BINDER Data Logger Kits
The new BINDER Data Logger Kits – Makes independent recording of temperature data in the BINDER device possible. The tailored product solution contains helpful accessories: from mounting the logger to the BINDER device to cable access assistance to the sensor mount
Access port
With silicone plugs for introducing external measuring instruments into the chamber, access ports with 30, 50, 80, 100, 125 mm diameters
Notch-type access port in door
Provides easy connection of cables to test specimens and facilitates loading and unloading of the chamber. Doors have access ports measuring 100 x 35 mm, which can be sealed with the included silicone plugs
Reinforced rack
To ensure safe and stable storage of heavy test specimens
APT-COM™ DataControlSystem GLP Edition
Software for GLP-compliant control, programming and documentation. Allows networking of up to 30 devices or controllers. Meets FDA 21 CFR Part 11 requirements
Analog outputs
For temperature or temperature and humidity 4 - 20 mA with 6-pin DIN socket (output cannot be adjusted)
Calibration certificate + validation
BINDER can significantly reduce the workload in qualifying devices. Nobody knows our devices as well and has as much experience in certifications as we do
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Veigh Cummings and JoEllen Cummings v. J. Elmo England, DeLoyd England and Boyd England: Brief of Respondents
Utah Supreme Court
Follow this and additional works at: https://digitalcommons.law.byu.edu/uofu_sc1
Part of the Law Commons
Original Brief submitted to the Utah Supreme Court; funding for digitization provided by the Institute of Museum and Library Services through the Library Services and Technology Act, administered by the Utah State Library, and sponsored by the S.J. Quinney Law Library; machine-generated OCR, may contain errors.
Robert B. Hansen; Attorney for Defendants and Respondents;
Recommended Citation
Brief of Respondent, Cummings v. England, No. 9344 (Utah Supreme Court, 1961). https://digitalcommons.law.byu.edu/uofu_sc1/3804
This Brief of Respondent is brought to you for free and open access by BYU Law Digital Commons. It has been accepted for inclusion in Utah Supreme Court Briefs (pre-1965) by an authorized administrator of BYU Law Digital Commons. For more information, please contact [email protected].
IN THE SUPREME COURT
of the
STATE OF UTAH
VEIGH CUMMINGS and JoELLEN
CUMMINGS, his wife,
Plaintiffs and Appellants,
—vs—
J. ELMO ENGLAND, DeLOYD
ENGLAND, AND BOYD EN-
GLAND, A partnership, doing busi-
ness under the name and style of
ENGLAND BROTHERS,
Defendants and Respondents.
BRIEF OF RESPONDENTS
ROBERT B. HANSEN
Attorney for Defendants and
Respondents
INDEX
STATEMENT OF FACTS ................................................................. 1
STATEMENT OF POINTS ............................................................... 4
ARGUMENT
POINT I. DEFENDANTS MADE A VALID AND SUFFICIENT TENDER AND PAYMENT TO PLAINTIFFS TO PURCHASE THE INTEREST OF PLAINTIFFS IN THE SUBJECT PROPERTY. ........................................... 4
POINT II. DEFENDANTS WERE LEGALLY ENTITLED TO PURCHASE THE INTEREST OF PLAINTIFFS PURSUANT TO THE OPTION TO DO SO IN THEIR CONTRACT AND THE GRANTING OF AN OPTION BY DEFENDANTS TO A THIRD PARTY TO PURCHASE THE ENTIRE INTEREST IN THE SUBJECT PROPERTY WOULD NOT EFFECT THIS RIGHT, PARTICULARLY UNDER THE FACTS OF THIS CASE. ............................................................................. 6
POINT III. PLAINTIFFS FORFEITED THEIR INTEREST IN THE CONTRACT OF MAY 7, 1958, BY FAILING TO MAKE THE PAYMENT DUE THEREUNDER ON OCTOBER 1, 1958, OR WITHIN THE 30-DAY GRACE PERIOD THEREAFTER. ......................................................... 9
CONCLUSION .................................................................................. 11
AUTHORITIES CITED
Chicasaw Lumber Co. v. Kunkel, 183 Okla. 347, 82 P.2d 1003. .... 8
Holland v. Morton, 10 Utah 2nd 390, 353 P.2d 989 ...................... 6
IN THE SUPREME COURT
of the
STATE OF UTAH
VEIGH CUMMINGS and JoELLEN
CUMMINGS, his wife,
Plaintiffs and Appellants,
—vs.—
J. ELMO ENGLAND, DeLOYD
ENGLAND, AND BOYD EN-
GLAND, A partnership, doing busi-
ness under the name and style of
ENGLAND BROTHERS,
Defendants and Respondents.
No. 9344
BRIEF OF RESPONDENTS
STATEMENT OF FACTS
The facts set forth in opponents’ brief are incomplete. For this reason, respondents believe it would be helpful to set forth a chronological statement of the occurrences here in question.
In the month of March, 1958 (Exhibit 28-D), the plaintiff, Veigh Cummings, on behalf of appellants, and J. Elmo England, on behalf of respondents, began efforts to consummate an arrangement concerning a ranch located in Summit County which the respondents were purchasing from Vern Mills and Kenneth Mills under a uniform real estate contract dated October 1, 1948 (Exhibit 5-P), but the agreement, which is the subject matter of this lawsuit and which was prepared by Earl M. Marshall, Attorney and Judge of Tooele City, was not executed until May 7, 1958 (R. 214 and Exhibit 7-P). It should be noted that Mr. Cummings’ contract, however, had the date of March 26, 1958, filled in although no one seemed to know who had done this (Exhibit 6-P, R. 108, R. 214). At the time the agreements were signed, Mr. Cummings had sheep as well as cattle on the premises but promised to remove them shortly (R. 94, R. 115, R. 135, R. 136). Mr. Cummings did not remove the sheep from the premises, however (R. 136), and, as might be expected, a conflict concerning the use of the two types of livestock developed (R. 93). This conflict resulted in Mr. Marshall advising Mr. Cummings by letter dated October 8, 1958, that Mr. England was exercising his option to pay off the sum that Mr. Cummings had in the subject ranch property and was ready and willing to pay this sum at the earliest date provided by the terms of
the agreement (Exhibit 1-P). One of the terms of the subject contract (Exhibit 7-P) provides for a mutual option to buy each other out “after 12 months from the date of execution” (page 3).
On November 19, 1958, respondents exercised their option to terminate appellants’ interest in the contract for failure of appellants to make the payment required of them on October 1, 1958, or within the 30-day grace period. (Exhibit 2-P)
On April 28, 1959, the appellants attempted to exercise their option to buy out respondents’ interest in the subject property (Exhibit 3-P). On May 14, 1959, the respondents exercised their option to buy out the appellants pursuant to the terms of Exhibit 7-P (Exhibits 4-P and 19-D). On June 26, 1959, the parties agreed to sell the property involved in this contract to the Cottonwood Stake of the Church of Jesus Christ of Latter-day Saints without prejudice to the rights of either side with respect to the proceeds resulting from an interim division made by the parties. (Exhibit 25-D)
On July 27, 1959, the property in question was sold to the Church for the sum of $75,000.00 (R. 66).
On September 11, 1959, respondents paid appellants their share of the property in accordance with the formula set forth in Exhibit 7-P. (Exhibit 20-D, R. 23).
STATEMENT OF POINTS
POINT 1.
DEFENDANTS MADE A VALID AND SUFFICIENT TENDER AND PAYMENT TO PLAINTIFFS TO PURCHASE THE INTEREST OF PLAINTIFFS IN THE SUBJECT PROPERTY.
POINT 2.
DEFENDANTS WERE LEGALLY ENTITLED TO PURCHASE THE INTEREST OF PLAINTIFFS PURSUANT TO THE OPTION TO DO SO IN THEIR CONTRACT AND THE GRANTING OF AN OPTION BY THE DEFENDANTS TO A THIRD PARTY TO PURCHASE THE ENTIRE INTEREST IN THE SUBJECT PROPERTY WOULD NOT EFFECT THIS RIGHT, PARTICULARLY UNDER THE FACTS OF THIS CASE.
POINT 3.
PLAINTIFFS FORFEITED THEIR INTEREST IN THE CONTRACT OF MAY 7, 1958, BY FAILING TO MAKE THE PAYMENT DUE THEREUNDER ON OCTOBER 1, 1958, OR WITHIN THE 30-DAY GRACE PERIOD THEREAFTER.
ARGUMENT
POINT 1.
DEFENDANTS MADE A VALID AND SUFFICIENT TENDER AND PAYMENT TO PLAINTIFFS TO PURCHASE
THE INTEREST OF PLAINTIFFS IN THE SUBJECT PROPERTY.
In the corresponding point of appellants’ brief it is contended that the sum paid by respondents on September 11, 1959, of $1,597.79 was the net payment to the Mills on the principal amount owing out of the down payment of $3,000.00. This is not correct and the proper amount found necessary to exercise the option was found by the court in its memorandum decision. (R. 23) Defendants to be on the safe side, of course, granted an extra credit in order to be sure to comply with the principle of law enunciated in the cases set forth on page 9 of appellants’ brief. The real question on this point is whether or not the sum tendered must be the full amount of money necessary to exercise the option according to its terms or whether it must be this amount plus any other sum that may be due or thereafter found due to the tenderee by the tenderer for an obligation other than that arising out of the sum due to exercise the option. The Trial Court decided that the option in this case required only the payment of the formula set forth in the contract, which is Exhibit 7-P, and that the terms of the contract governed the sum which respondents were required to tender and pay to appellants. (R. 31, 32) None of the cases cited by appellants take the position that all accounts between the tenderer and tenderee must be paid or offered to be
paid in order for a valid tender or exercise of an option to take place.
POINT 2.
DEFENDANTS WERE LEGALLY ENTITLED TO PURCHASE THE INTEREST OF PLAINTIFFS PURSUANT TO THE OPTION TO DO SO IN THEIR CONTRACT AND THE GRANTING OF AN OPTION BY THE DEFENDANTS TO A THIRD PARTY TO PURCHASE THE ENTIRE INTEREST IN THE SUBJECT PROPERTY WOULD NOT EFFECT THIS RIGHT, PARTICULARLY UNDER THE FACTS OF THIS CASE.
None of the authorities cited by appellants under this corresponding point are applicable to the facts of this case because in none of those cases had the tenants in common contracted for an option whereby either could buy out the other, as was true in this case. In addition, the Utah case of *Holland v. Morton* on which appellants rely heavily involved a case where the highest type of fiduciary relationship existed between the parties in which one was acting as the agent and attorney for the other. In this case, neither party was acting as agent for the other and the court expressly found that no fiduciary relationship existed between them (R. 22, 36).
In the absence of any fiduciary relationship existing between the parties, it is difficult to understand upon
what theory appellants contend respondents had any duty to communicate to them any indications of an interest to purchase on behalf of third persons and of their response thereto, particularly when this occurred after a time when respondents would reasonably believe that the interest of the appellants had been forfeited by failure to make the payment due October 1, 1958, and the letter written by Attorney Marshall on their behalf several months before. At the very least, it should have been obvious to appellants from Exhibits 1-P and 2-P as early as the latter part of November, 1958, that respondents intended to acquire the entire interest in this property by purchase or forfeiture and could not expect to receive any communications that might effect their joint or several interests in this property.
Nowhere in the evidence is there any indication that the Church paid more than the fair price for the farm in question. It should have been as apparent to the appellants as to the respondents that the value of the property was greater at the time in question than the sum necessary to purchase it from the other party, especially when the appellants were in possession of the property and the respondents were not, so the failure of respondents to communicate a particular fact which indicated that such was the case could hardly have been detrimental.
In view of the fact that the option right was reciprocal, it is hardly to be expected that one party would communicate all offers to buy at a price in excess of the option price to the other in order to give the other a first opportunity to buy him out.
The wisdom of such provisions in a contract as the mutual option here might be questionable, but the party who comes off second best can hardly expect the court to re-write the contract for him by alleging that the results of the “earlier bird getting the worm” are unconscionable, unfair and unreasonable.
Equity cannot modify a contract or relieve a party thereto from contract’s provision merely because contract has the effect of placing the party in a less desirable position than he formerly occupied. *Chikasaw Lumber Co. v. Kunkel*, 183 Okl. 347, 82 P.2d 1003.
It is difficult to understand how appellants can contend that any grant of an option on the part of respondents which they did not know about could effect either parties’ legal right to enforce the contract they had entered into. If appellants attempted exercise of the same option (Exhibit 3-P) had not been premature as the result of this party being mistaken as to the date of the contract which incorporated this right, or if it had occurred after May 7, 1959, could respondents have contended successfully that this election had been vitiated by reason of the possibility that the undisclosed option might ripen into a contract favorable to both? If extrinsic events, favorable or unfavorable, can so radically alter the terms of written agreements between parties dealing at arms length with respect to the subject matter of their agreement, what shall become of the sanctity of contracts?
POINT 3
PLAINTIFFS FORFEITED THEIR INTEREST IN THE CONTRACT OF MAY 7, 1958, BY FAILING TO MAKE THE PAYMENT DUE THEREUNDER ON OCTOBER 1, 1958, OR WITHIN THE 30-DAY GRACE PERIOD THEREAFTER.
There is no dispute in the evidence that appellants were obligated to pay the sum of $1,500.00 to Vern and Kenneth Mills on October 1, 1958, or within 30 days thereafter (Exhibit 7-P). Appellant Veigh Cumming's testimony is to the effect that it was only after the receipt of Mr. Marshall's letter of November 19, 1958 (Exhibit 2-P), that he made a tender of the $1,500.00 to Mr. England that he was required to pay on the contract (R. 115). The lower court excused this default on the ground that after Mr. Marshall's earlier letter, in which he advised that respondents were buying out appellants, there could
be no forfeiture. Certainly, if appellants had ruled upon this earlier letter, it would be unconscionable to permit this, but there is no evidence in the record anywhere that this was the case. Appellants, in their brief (page 7), now take the position that since the court subsequently found that they ultimately were entitled to $1,754.11 as a result of expenditures by appellants for their joint operations, the payment due on October 1, 1958 need not have been made.
Even if one party's failure to abide by one section of a contract could relieve the other party of the sanctions set forth by the agreement for a violation of a different provision, it can readily been seen from Finding of Fact No. 7 of the Court (R. 34, 35) that $1,771.07 of the expenses of which one half are chargeable to the respondents were paid after October 1, 1958, so appellants could not under any theory be excused from paying some part of the payment due that date.
It is respectfully submitted that respondents effectively acquired all of the interests of appellants by exercise of their option as found by the trial court or through forfeiture of their interest by reason of the non-payment of the installment due October 1, 1958.
CONCLUSION
The Court should affirm the judgment of the trial court and award respondents their costs of court.
Respectfully submitted,
ROBERT B. HANSEN
Attorney for Defendants and Respondents
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Welcome to the LHC Trout Tournament at Camp Tahuaya
_________________________________________________________________________________________
Only one vehicle per unit will be allowed to go to the campsite to unload/load gear upon check-in/out.
Please no walk-in participants. Must be preregistered to attend.
Please read letter and send to all participants
Map of Camp: https://www.longhorncouncil.org/sites/default/files/2022-11/tahuaya_map_print_2017_update.pdf
BRING FOR THE DAY: (Recommended at the lake) Lunch, water bottles & drinks, snacks, camp chairs, warm coat, stocking hat, gloves, hand warmers, wagon to carry gear from car to camp, hand soap/wipes, paper towels.
BRING FOR FISHING: Fishing rod & reel, slip sinkers, swivels, #12, 14 or 16 treble hooks, trout bait or marshmallows, needle nose pliers, nail clippers, fish stringer or 5 gallon bucket, cleaning knife, plastic bags to put fish in, cooler with ice.
TROUT BAIT: Trout Power Bait: rainbow, pink, chartreus, yellow. Rooster Tails: silver or chartreus. Marshmallows are a good trick too.
CHECK IN & UNLOADING EQUIPMENT INTO CAMPSITES:
* Park vehicles in parking lot next to the CT gate. DO NOT DRIVE INTO CAMPSITES!
* Unload equipment. All gear not in the ONE vehicle must be packed in. Bring a wagon if you can not pack it all in yourself. Note it will be dark, be prepared.
* Check in & Confirm unit attendance.
* The one vehicle per unit should drive to the campsite (not into the campsite), unload then (before setting up camp) move the vehicle to the parking lot.
* Call Camp Ranger Chad Crawford before arrival if you need a handicap dashboard pass.
FRIDAY NIGHT ARRIVAL:
* Check in at camp office from 7-10pm
* You will not be allowed to fish if you do not have a wristband from check in at the camp office.
* Get to sleep early, fishing is best early in the morning!
SATURDAY/SUNDAY ARRIVAL:
* Check in at the camp office from 6-10am.
* Trout Tournament check-in begins at 6:30 a.m. at the waterfront.
* You will not be allowed to fish if you do not have a wristband from check in.
* Fishing is from Sunrise – 4pm
CAMPSITES:
* Absolutely NO DRIVING in campsites or parking overnight on camp roads! Park in the parking lots!
* Campfires and charcoal fires are allowed. Please follow the camp rules regarding campfires: campfires and charcoal fires only in established campfire rings; limit campfire height to adult knee level; all fires must be attended by an adult; burn only wood products; have a water supply readily available.
* Bring trash bags; you are responsible to pack out all your trash. Police your area before checking out.
* Water is available at the frost-proof spout next to the Old Trading Post building.
Meals:
Meals will not be provided during the event.
Fishing/Fly Fishing MB Classes & Ranger Award (Fishing) Classes
* Location: Waterfront
* Saturday/Sunday @ 8 a.m.
CHAPEL: A Scout is reverent and respects the rights of others to their religious beliefs. The Chapel will be available for your unit if you choose to have a service.
TROUT SCHEDULE
Saturday/Sunday
6:30 – 10 a.m.
*
* Sunrise – 4 p.m.
Fishing time (MUST HAVE WRISTBAND)
* 8 a.m.
Fishing Class – at waterfront
* 11:30-1:30
Visit The Camp Tahuaya Trading Post
* 4 p.m.
Fishing Ends
* 6 p.m.
Awards – at Council Ring (no Sunday campfire, prizes given out at waterfront)
Check-in – at CT Office
RULES:
* Each participant must stop fishing when they have caught their limit of 6 Trout. Adults / Parents must let Scouts catch their own Trout and other fish.
* Participants must weigh their fish once they finish or catch their Trout limit.
* One fishing rod per paid fisherman is allowed to be used at a time.
* Scouts & adults keep the fish they catch (Bluegill, Catfish, Bass, Trout). Each person must stop fishing when they catch 6 Trout.
* Only bank fishing is allowed. No boats or wading.
* Weigh & measure all fish at the pavilion before cleaning them. This helps us track the catch and gets you your scores for the tournament.
* Fishing at Camp Tahuaya is off limits except at Council Day Camps, Scouts BSA Trout Tournaments, Cub Scout Trout-O-Rees, and Family Adventure Camp.
* Firearms, fireworks, alcohol, drugs, and non-service animals are prohibited items at camp.
* Catch and Release of Trout is NOT allowed for any reason and will result in immediate disqualification.
EMERGENCY NUMBERS:
* Camp Ranger: Chad Crawford: 806-475-8008
*
Program Executive: Jonna Martin: 817-231-8515
Camping Assignments:
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No 154421 RAMC
℅ Grindlay & Co
Bonhem. B.
15/12/42
My Dear Ivy
I ought to be feeling very guilty, writing to you, because I have been, meaning to write for at least a week, but I have some good excuses to salve my reputation. I can say, I have done this & this & therefore you can't be annoyed with me. The trouble with me is I am afraid of the female of the species, particularly you!
Well even if I haven't written a long letter to you. I have (1) sent an aegraph. (2) an airmail letter card. (3) bought a couple of toys & had them sent to you.
I told you about them in the airmail letter card. To repeat they are cloth stuffed animals, one a lion. So
size about 9" long.
& the other a tiger so
the same length. They cost me 30/- (Shillings) altogether, as they are last seasons stock. & they are the finest stuffed animals, of a London firm. So you can't say that I am not a good father to my son. Although he will be lucky, if he ever gets as expensive present as that, after the war!
I also, have personally packed, wrapped, and posted a parcel, containing one.
K. W. S. E. L. that is description of article, now guess but it is a very expensive present, & I was very loth to send it on case it falls by the way side, but I hope it reaches you for your birthday & also that it fits. Now there is a clue. You will find it warm, & it is hand done Indian work, representing hundreds of hours of work.
Now am I a good husband & do I deserve a kiss? From your recent letter talking of kisses, I should imagine you are beginning to feel the pinch, as regards your physical needs. Well so am I, & I have for about 17 months, now!! But we shall have to just stick it, with the thought that, even when one finds it most trying, there suddenly comes a lull, when one is relatively more at peace.
It's funny, but at times I almost feel as if I am a virgin, it seems so long since I kissed you or new (sic) physical satisfaction, that I am almost unable to imagine what it is like. I think if you suddenly appeared here & bent over & kissed me, I should have a fit and become completely paralyzed from the neck down. Still you are still as vivid as ever in my mind, & I love you so much, that if in in the dark I imagine myself kissing you. I am stunned, as much as if it were actual fact. Oh! when are we going to be together again. This war is making more rapid strides now, but it still seems to be an endless business. Still it should be over in a year or so & we are are still both very young. We may both have to go through hell at times, seeing other people meeting their wives & husbands, & leading a normal life, with their children, but, we can strengthen ourselves in the thought that if the war lasts another 2 years, we should have 15 or twenty years of vigorous married life. How many couples are as assured of their physical and mental compatibility as we are. There are times when I think back, that I was a damned fool. I remember certain occasions when I accused you of being lacking in energetic response to me. Darling, I could kick myself was there ever such a self centered fool. It was you saying in a letter that you were at last beginning to feel the joy of life again. And I remembered the stress of pregnancy, loosing(sic) your mother, worry over your future & me going abroad, shock of being bombed, How selfish and lacking in understanding, we are, us males in our early twenties. I realize, how much you must love me, to have been so patient with me & responsive as you were. I feel sure that nothing can ever come between us, or break our marriage and love, which has not only withstood such strain & ignored, such opportunities, possibilities of misunderstanding & rift but as grown and matured throughout a very difficult phase. How much happiness & love, & understanding and tenderness, & companionship comfort can we give to each other, when we are together again. I only hope darling, that I can be worthy of your love, when I am so humbled before its greatness, unselfish magnanimity.
----------------------------------------------------------------------------------
Well I expect you would like to know what I have been doing. Actually I have been having a hectic week. five days out in succession. Thursday I & the 2 officers of the 18th General Hospital were marched out to a drink & Dinner by our Colonel, who was visiting Bombay. We had some alcohol in the Taj Mahal hotel, & then dinner & some more drink in the Grand Hotel, all a very pleasant change, & free. If I had to pay my share for that evening would have cost me 3R + 6R + 3 + 3 = 15R(upees) = 21/.(Shillings) ummmmm!
Friday I met a young officer of the 18th Hughes on leave, from a hospital about 50 miles away. Coff Lear?? & I took him & showed him the sites of Bombay, mainly Malarbar Hill where are the famous hanging gardens, from where you can see right down over Bombay. & the sea and bays are on both sides of the island & then on to the Beach Candir(?) open air swimming pool, where we had tea & then in the evening we took them to the picture & saw Married Bachelor which was quite an amusing bachelor. That was Friday afternoon and evening off from my work. Saturday afternoon I slept and was just about to settle down to this letter, when a civilian Scot lad, actually a chap about 40 who lives in the hotel, who we go out with about once a week came into my room & persuaded me & another Med Officer Macdonald, (a very decent chap) to go out to the Bristol Grill Bombay for dinner & after that we went to the pictures & saw "flight from destiny" a fairly good film.
Well Sunday afternoon I determined to have a quiet evening and write this letter, but at lunch time, the Scots civilian? Houston & Mac and another officer (non medical) persuaded me to join them in a bathing party, & we all took the bus to Church gate station & the electric train, across to Tukee(?) beach (about 30 minutes train ride) & another bus to the beach, where we bathed, sunbathed, did some jumping & other sports on the beach (sandy) & then had tea at the Country Hotel, with 2 boiled eggs, tomato sandwiches, egg sandwiches, jam & bread, cake & 3 pots of tea. Got indigestion; walked back about 2 miles across the sand, to Palm Grove Hotel from where we took a taxi back to the train & the train back to Bombay & had dinner, home at about 8:45 P.M. where the proprietor Mrs Bird was holding a private christening party for her daughter's child at the other end of the room, but they had, a trio of pianist, drummer, & Zilophonist, which was jolly good, so we lingered over dinner until 9-45 PM when I went to bed, oh no I went into another M.O's room Davies, and talked with him about war etc for around ¾ hour & then went to bed very tired.
Monday I was very lazy catching up with my work. Macdonald was posted to Poona, which was a shame, as he is the best friend I have made since coming to Bombay, & so in the evening we had a last evening out & went to the Garrison cinema to see Aloma of the South Seas with Dorothy Lamour. boy oh boy! sarongs to you. Tuesday night, tonight at last. I come home to my wife like a good boy and write my letter.
Tomorrow I shall be on the go again. I shall be Orderly Officer, which means I shall not be able to call a minute my own until 5-0 PM Thursday the 17th.
On the 21st another friend from the 18th General is coming to Bombay. Conway Hughes. So I expect fees & I shall be taking him out & then there is Xmas.
I was wrong about Xmas mail. I reckoned I should get it at the beginning of December. Well it is the 15th & I have had none of it yet.
There is nothing else to write about, Oh yes I got a slight sore throat with slight pain on swallowing in the middle of the week & thought I was in for another attack of tonsillitis, exactly one year & 2 wks after my last attack in Cairo, but it gradually passed off. Now I have just slight pain on swallowing hard. Pause to swat a mosquitoe. It was a Culicine (Aedes Aegypti or Stegmeyer Faecialis) & not a carrier of Malaria. I have had Dengue, Malaria & Typhoid on my ward & now I have a case of Typhus, which is very interesting. It is the first case I have seen, I expect that there will be more people dying & feeling ill with Typhus in Russia, this winter, than will be, killed or wounded by the Russians. I reckon with the (1) Russian offensive (2) Diseases like Typhus, & pneumonia etc. (3)Frostbite, there will be very little of the German armies left by the spring. The point is have they another 4 or 5 million reserves to send up to Russia in the spring, to bring their armies up to full strength again, as they must have done last spring. I am sure the answer will be no which means that the Russians will finish next spring, what they have started, then winter & there will be no new German offensive in Russia, next year.
Well I think I have told you most of the things I have been meaning to tell you in the letter for some days.
You know I look forward to writing you letters as is it were actually a date with you.
Cheerio darling, I love you, very much.
All my love sweetheart
Yours ever.
Kenneth.
P.S. Lots of C's & K's!
Take a train & come out & meet me somewhere, say about half way. How about, at the foot of the pyramid Cairo!
|
<urn:uuid:33e61d50-029b-4fe5-8445-6f83c37e42e1>
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CC-MAIN-2017-39
|
http://www.shawx.com/documents/Letterof15Dec42_000.pdf
|
2017-09-20T12:43:00Z
|
s3://commoncrawl/crawl-data/CC-MAIN-2017-39/segments/1505818687281.63/warc/CC-MAIN-20170920123428-20170920143428-00582.warc.gz
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TECHNICAL SHEET
Ref
.:
Revision
: 00
Date: 06/2019
Application
The Tractel ® tracrod 150 kg anchor rod is a transportable anchor point which enables two operators, each weighing up to 150 kg, to work in safety. To install it ready for use, the tracrod 150 kg anchor rod is inserted into a stainless steel support mount which is secured in place permanently at the place of work
When the opening plate of the manhole is not perfectly in alignment with the reception structure, the tracrod spacer must be installed to install the tracrod anchor rod in its base.
The spacer is installed with 2 chemical anchors of 12mm it is the same chemical anchor as the anchors base and does not require any specific tools.
NB: The chemical anchors are not supplied with the base. They must be compatible with the belay support.
Caractéristiques techniques
Standard:
The tracrod 150 kg anchor rod meets the requirements stated in the following standards:
EN795A/2012 Personal fall protection equipment - anchor devices, and can be fitted with two, 150 kg fall-arrest devices which comply with the requirements stated in standard EN 363 (EN 355-EN 353.2-EN 360) or with evacuation systems EN341
To support a blocfor™ 20R or 30R 150-kg bracket, EN 360 - EN 1496
Code:
5 cm-thick spacer block tracrod
www.tractel.com
|
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|
CC-MAIN-2023-50
|
https://cdn.starwebserver.se/shops/hewallsafety/files/datasheet_207358.pdf?_=1631523518
|
2023-11-28T18:46:18+00:00
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Subject: Re-organization of Employment Department.
Government Order No. 74-L&E of 2017
Dated 19-12-2017
Sanction is hereby accorded to the:
1. Abolition of 01 (one) post of Employment Market Information Officer (EMIO), in the Pay scale of 9300-34800 + GP 4280 with effect from 01.06.2018. Till then the post shall continue to be utilized for the drawal of salary of Smt Nuzhat Ara.
2. Re-designation of the posts of Management Executive/Counselor and Junior Employment Officer as Career Counseling Officer and Employment officer, respectively, without any changes in the Pay Scale.
3. Re-designation of the post of Key Punch Operator as Data Entry Operator, without any changes in the Pay Scale.
This issues with the concurrence of Finance Department vide U.O No. A/91(2003)-A-835 dated 17.11.2017.
By order of the Government of Jammu and Kashmir.
Sd/-
(Kifayat Hussain Rizvi) IAS
Commissioner/Secretary to the Government
No.L&E/Gen/49/2016-I
Dated 19-12-2017
Copy to the:
1. Advisor to the Hon’ble Chief Minister, J&K.
2. Principal Secretary to the Governor, J&K.
3. Principal Secretary to the Chief Minister, J&K.
4. All Administrative Secretaries to the Government.
5. Divisional Commissioner Jammu/Kashmir
6. All Deputy Commissioners.
7. Director Employment, J&K, Jammu.
8. Director Finance, Labour and Employment Department.
9. Pvt. Secretary to Minister for Labour and Employment.
10. Pvt. Secretary to Commissioner/Secretary to Government, Labour and Employment Department.
11. I/c Website, Labour and Employment Department.
12. Government order file/stock file/Monday return (w.2.s.c).
(Dr. Irfan Ali Khan) KAS
Under Secretary to the Government
|
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|
CC-MAIN-2021-25
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|
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Passport to Employment
The BladeRunners program The "Passport to Employment" is a youth employability training program occurring between April 2016 and March 2017 with programs being delivered ongoing.
We will provide youth participants with:
[x] FREE Employment Readiness Training
[x] FREE Job Readiness Training (Safety Training and Workplace Certifications)
[x] FREE Employability/Life Skills Training
[x]
FREE Employment Coaching to achieve participants individual employment goals
[x] Job Placements
Each youth participant will create an individual training plan with their employment coach and attend cohort training sessions comprised of a minimum of 70 hours of accumulated training; 35 hours of Employability/Life Skills and 35 hours of safety training/workplace certifications.
Training youth participants scheduling can and will be flexible to incorporate other priorities.
Employability skill components can be offered as job maintenance for youth participants who already have a good understanding or prior workshops in these areas – thus moving from academics to implementation.
Criteria:
[x] Willing to work and wants a job
[x] Youth Ages 15-30 only
[x] Unemployed
[x] Underemployed (working less than 20 hours per week)
[x] Must not be in school
[x] No EI attachment (must not have been on EI in the past 3 years and must not have a current EI claim)
[x] Dedicated to achieving personal goals and employment goals
Program Dates:
[x] Registration is on-going anytime from April 2016 until February 2017
[x] Participants can register anytime for individualized/cohort BladeRunners programs throughout our Kootenay Region service area which consists of School Districts 5, 6, and 8
Employability/Life Skill Training Options:
[x] Resumes
[x] Cover Letter
[x] Job Search
[x] Online applications
[x] Interview Skills
[x] Post Interview Skills
[x] Job Retention Strategies
[x] Transferable Skills
[x] Goal Setting
[x] Budgeting
[x] Conflict Resolution
[x] Stress Management
[x] Elevator Pitch
[x] Anger Management
[x] Active Workplace Listening
[x] Time Management
[x] Career Assessment
[x] Career Exploration
[x] Networking
[x] Assertiveness
[x] Transferable Skills
[x] Positive Workplace Attitude
[x] Building Confidence
[x] Healthy Relationships
[x] Health and Wellness Awareness
[x] Mental Health Awareness
[x] Cultural Exploration
[x] First Nations Traditional Foods
[x] Healthy Eating Cheap and Easy Tips
[x] Class 5 Drivers Licence Preparation
[x] Driver's L and N knowledge test preparation
[x] Career Portfolios
[x] Career Planning
[x] BC and Kootenay Labour Market Outlook
[x] Social Media Awareness for Job
Search/Careers
[x] Job Hunting in the Digital Age: Reputation, Resumes and Interviews
[x] How to create a Linkedin Account for Job Search
[x] Job Search Club
[x] Landlord and Tenant Rights
[x] How to Be a Good Tenant
[x] How to Find a Rental Home
[x] How to Apply for the New First Nations Status Card
[x] How to apply for a Metis Card
[x] Working in BC Legal Rights & Responsibilities
[x] Workplace Bullying and Harassment
[x] Healthy Parenting
[x] Communication Etiquette for Job Search/Work
[x] Myers Briggs Personality Assessment
[x] Employment Standards
[x] How to obtain new or lost identification
[x] What is a Curriculum Vitae Resume
[x] The 500 Year Evolution of the Resume
[x] You and Substance Abuse Use
[x] Dress for Success
[x] What is Credit and How to Get Credit
Employment Coaching:
[x] Maintaining weekly/monthly meetings with your coach
[x]
Each Individual Training Plan will outline employment coaching plan, roles and timelines
[x] To assist participants to overcome their barriers to employment and maintain long-term attachment to the workforce
[x] Provide participants with varied levels of support, based upon individual need, so that each participant can be assisted in overcoming their own barriers to training and workplace integration
Job Readiness Training (Safety Training and Workplace Certifications possible opportunities):
[x] First Aid
[x] Traffic Control
[x] WHMIS
[x] Scaffolds for Construction
[x] Construction Safety Training System
[x] Food Safe
[x] Serving It Right
[x] Basic Fall Protection
[x] Fall Protection Awareness
[x] Fall Protection
Construction
[x] Pipeline
Construction Safety
Training
[x] Safety Construction Orientation Training
[x] Scaffolding – Safety Training
[x] WorldHost
[x] Confined Spaces
[x] Transportation Endorsement
[x] Petroleum Safety Training
[x] Transportation of Dangerous Goods
[x] H2S Alive
[x] Keyboarding
[x] Microsoft Excel
[x] Microsoft Word
[x] Customer Service
[x] Sage 50
[x] Quick Books
[x] Basic Chainsaw
Safety and
Maintenance
[x] S100
[x] Payroll
[x] Basic Bookkeeping
[x] Bear Awareness
[x] Electrocution Awareness for Construction
[x] Exceptional Customer Service
[x] Basic or Entry-level Workplace/Safety Skills
[x] Work-place Safety
[x] Math skills
[x] Computer skills
[x] Worker's Rights
[x] Construction Site Awareness
[x] Forklift Training
[x] Bad Credit and Debt Relief Strategies
[x] Childcare tips for Job Search or Work
[x] Grocery Shopping Tips
[x] Personal Safety Equipment Awareness
[x] Basic Hand Tools Awareness
[x] Intro to Electrical Skills
[x] Intro to Plumbing Skills
[x] Intro to Office
[x] Intro to Carpentry/Trades Skills
[x] Intro to Food and Beverage Serving Skills
Other – additional short-term trainings will be considered if determined as directly related to employment by the Employment Coach through the ITP process
The purpose of this programming is to support all youth living within the Ktunaxa Traditional Territory with an opportunity to self-design their personal path to employment with the support of the Ktunaxa Nation Council Education and Employment staff.
Some of the many communities we provide the Passport to Employment Program to:
For more BladeRunners P2E information please contact:
Bev Middlebrook
Training Coordinator Ktunaxa Nation Council Education and Employment
Phone: (250) 489-2464 ext. 3076
Toll Free: 1-888-480-2464
Fax: (250) 489-2438
Email: [email protected]
Website: www.ktunaxa.org
|
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The industrial development agency or authority (IDA) must submit this form within 30 days of the appointment of a project operator or agent, whether appointed directly by the IDA or indirectly by the operator or another agent.
**Name of IDA**
Counties of Warren and Washington Industrial Development Agency
**Name of IDA project operator or agent**
Mohawk Industrial Werks LLC
**Name of project**
Mohawk Industrial Werks LLC Project
**Date project operator or agent appointed (mm/dd/yy)**
10/16/17
**Date project operator or agent status ends (mm/dd/yy)**
06/30/19
**Estimated value of goods and services that will be exempt from New York State and local sales and use tax:**
$750,000.00
**Estimated value of New York State and local sales and use tax exemption provided:**
$52,500.00
**Certification:** I certify that the above statements are true, complete, and correct, and that no material information has been omitted. I make these statements with the knowledge that willfully providing false or fraudulent information with this document may constitute a felony or other crime under New York State Law, punishable by a substantial fine and possible jail sentence. I also understand that the Tax Department is authorized to investigate the validity of any information entered on this document.
**Print name of officer or employee signing on behalf of the IDA**
Harold G. Taylor
**Print title**
Chairman
**Signature**
**Date**
10/16/17
**Telephone number**
(518) 792-1312
---
**Instructions**
**Filing requirements**
An IDA must file this form within 30 days of the date the IDA appoints any project operator or other person as agent of the IDA, for purposes of extending any sales and compensating use tax exemptions.
The IDA must file a separate form for each person it appoints as agent, whether directly or indirectly, and regardless of whether the person is the primary project operator or agent. If the IDA authorizes a project operator or agent to appoint other persons as agent of the IDA, the operator or agent making such an appointment must advise the IDA that it has done so, so that the IDA can file a form within 30 days of the date of the new agent's appointment. The IDA should not file this form for a person hired to work on an IDA project if that person is not appointed as agent of the IDA. The IDA need not file this form if the IDA does not extend any sales or use tax exemption benefits for the project.
If an IDA modifies a project, such as by extending it beyond its original completion date, or by increasing or decreasing the amount of sales and use tax exemption benefits authorized for the project, the IDA must, within 30 days of the change, file a new form with the new information.
If an IDA amends, revokes, or cancels the appointment of an agent, or if an agent's appointment becomes invalid for any reason, the IDA must, within 30 days, send a letter to the address below for filing this form, indicating that the appointment has been amended, revoked, or cancelled, or is no longer valid, and the effective date of the change. It should attach to the letter a copy of the form it originally filed. The IDA need not send a letter for a form that is not valid merely because the "Completion date of project" has passed.
**Purpose of project**
For **Purpose of project**, enter one of the following:
- Services
- Agriculture, forestry, fishing
- Finance, insurance, real estate
- Transportation, communication, electric, gas, sanitary services
- Construction
- Wholesale trade
- Retail trade
- Manufacturing
- Other (specify)
---
**Mailing instructions**
Mail completed form to:
NYS TAX DEPARTMENT
IDA UNIT
W A HARRIMAN CAMPUS
ALBANY NY 12227
**Privacy notification**
The Commissioner of Taxation and Finance may collect and maintain personal information pursuant to the New York State Public Officers Law, as not limited to, sections 5-a, 171, 171-a, 287, 308, 429, 478, 481, 697, 1096, 1142, and 1415 of that Law; and may require disclosure of social security numbers pursuant to 42 USC 4956(c)(2)(C)(ii).
This information will be used to determine and administer tax liabilities and, when authorized by law, for certain tax offset and exchange of tax information programs as well as for any other lawful purpose.
Information concerning quarterly wages paid to employees is provided to certain state agencies for purposes of fraud prevention, support enforcement, evaluation of the effectiveness of certain employment and training programs and other purposes authorized by law.
Failure to provide the required information may subject you to civil or criminal penalties, or both, under the Tax Law.
This information is maintained by the Manager of Document Management, NYS Tax Department, W A Harriman Campus, Albany, NY 12227; telephone (518) 487-5181.
---
**Need help?**
- Internet access: www.tax.ny.gov (for information, forms, and publications)
- Sales Tax Information Center: (518) 485-2889
- To order forms and publications: (518) 487-5431
- Text Telephone (TTY) Hotline (for persons with hearing and speech disabilities using a TTY): (518) 485-5082
IDA Appointment of Project Operator or Agent
For Sales Tax Purposes
The industrial development agency or authority (IDA) must submit this form within 30 days of the appointment of a project operator or agent.
Name of IDA: Counties of Warren and Washington Industrial Development Agency
IDA project number (use OSC numbering system for projects after 1996): 52-02-17-04
Street address: 5 Warren Street
City: Glens Falls
Telephone number: (518) 792-1312
State: NY ZIP code: 12801
Name of IDA project operator or agent: V & H Construction, Inc.
Mark an X in the box if directly appointed by the IDA: [ ]
Employer identification or social security number: 14-1780058
Street address: Fort Edward Road
Telephone number: (518) 746-1520
City: Fort Edward
State: NY ZIP code: 12828
Name of project: Mohawk Industrial Werks LLC Project
Purpose of project (see instructions): Manufacturing
Street address of project site: 140 Carey Road
City: Queensbury
State: NY ZIP code: 12804
Description of goods and services intended to be exempted from New York State and local sales and use taxes: construction materials, fixtures, and furnishings
Date project operator or agent appointed (mm/dd/yy): 10/16/17
Date project operator or agent status ends (mm/dd/yy): 06/30/19
Mark an X in the box if this is an extension to an original project: [ ]
Estimated value of goods and services that will be exempt from New York State and local sales and use tax: $750,000.00
Estimated value of New York State and local sales and use tax exemption provided: $52,500.00
Certification: I certify that the above statements are true, complete, and correct, and that no material information has been omitted. I make these statements with the knowledge that willfully providing false or fraudulent information with this document may constitute a felony or other crime under New York State Law, punishable by a substantial fine and possible jail sentence. I also understand that the Tax Department is authorized to investigate the validity of any information entered on this document.
Print name of officer or employee signing on behalf of the IDA: Harold G. Taylor
Print title: Chairman
Signature: [Signature]
Date: 10/24/17
Telephone number: (518) 792-1312
Filing requirements
An IDA must file this form within 30 days of the date the IDA appoints any project operator or other person as agent of the IDA, for purposes of extending any sales and compensating use tax exemptions.
The IDA must file a separate form for each person it appoints as agent, whether directly or indirectly, and regardless of whether the person is the primary project operator or agent. If the IDA authorizes a project operator or agent to appoint other persons as agent of the IDA, the operator or agent making such an appointment must advise the IDA that it has done so, so that the IDA can file a form within 30 days of the date of the new agent's appointment. The IDA should not file this form for a person hired to work on an IDA project if that person is not appointed as agent of the IDA. The IDA need not file this form if the IDA does not extend any sales or use tax exemption benefits for the project.
If an IDA modifies a project, such as by extending it beyond its original completion date, or by increasing or decreasing the amount of sales and use tax exemption benefits authorized for the project, the IDA must, within 30 days of the change, file a new form with the new information.
If an IDA amends, revokes, or cancels the appointment of an agent, or if an agent's appointment becomes invalid for any reason, the IDA must, within 30 days, send a letter to the address below for filing this form, indicating that the appointment has been amended, revoked, or cancelled, or is no longer valid, and the effective date of the change. It should attach to the letter a copy of the form it originally filed. The IDA need not send a letter for a form that is not valid merely because the "Completion date of project" has passed.
Purpose of project
For Purpose of project, enter one of the following:
- Services
- Agriculture, forestry, fishing
- Finance, insurance, real estate
- Transportation, communication, electric, gas, sanitary services
- Construction
- Wholesale trade
- Retail trade
- Manufacturing
- Other (specify)
Instructions
Mailing instructions
Mail completed form to:
NYS TAX DEPARTMENT
IDA UNIT
W A HARRIMAN CAMPUS
ALBANY NY 12227
Privacy notification
The Commissioner of Taxation and Finance may collect and maintain personal information pursuant to the New York State Tax Law; including but not limited to; sections 5-a, 171, 171-a, 287, 300, 429, 475, 505, 687, 1036, 1134, and 1415 of that Law; and may require disclosure of social security numbers pursuant to 42 USC 486a(b)(1).
This information is used to determine and administer tax liabilities and, when authorized by law, to obtain tax offset and exchange of tax information programs as well as for any other lawful purpose.
Information concerning quarterly wages paid to employees is provided to certain state agencies for purposes of fraud prevention, support enforcement, evaluation of the effectiveness of certain employment and training programs and other purposes authorized by law.
Failure to provide the required information may subject you to civil or criminal penalties, or both, under the Tax Law.
This information is maintained by the Manager of Document Management, NYS Tax Department, W-A Harriman Campus, Albany NY 12227; telephone (518) 457-5181.
Need help?
Internet access: www.tax.ny.gov (for information, forms, and publications)
Sales Tax Information Center: (518) 485-2689
To order forms and publications: (518) 457-5431
Text Telephone (TTY) Hotline (for persons with hearing and speech disabilities using a TTY): (518) 485-5082
IDA Appointment of Project Operator or Agent
For Sales Tax Purposes
The industrial development agency or authority (IDA) must submit this form within 30 days of the appointment of a project operator or agent, whether appointed directly by the IDA or indirectly by the operator or another agent.
Name of IDA: Counties of Warren and Washington Industrial Development Agency
Street address: 5 Warren Street
City: Glens Falls
Name of IDA project operator or agent: 140 Carey Road LLC
Street address: PO Box 426
City: Chadwicks
Name of project: Mohawk Industrial Werks LLC Project
Street address of project site: 140 Carey Road
City: Queensbury
Description of goods and services intended to be exempted from New York State and local sales and use taxes: construction materials, fixtures, and furnishings
Date project operator or agent appointed (mm/dd/yy): 10/16/17
Date project operator or agent status ends (mm/dd/yy): 08/30/19
Estimated value of goods and services that will be exempt from New York State and local sales and use tax: $750,000.00
Estimated value of New York State and local sales and use tax exemption provided: $52,500.00
Certification: I certify that the above statements are true, complete, and correct, and that no material information has been omitted. I make these statements with the knowledge that willfully providing false or fraudulent information with this document may constitute a felony or other crime under New York State Law, punishable by a substantial fine and possible jail sentence. I also understand that the Tax Department is authorized to investigate the validity of any information entered on this document.
Print name of officer or employee signing on behalf of the IDA: Harold G. Taylor
Print title: Chairman
Signature: [Signature]
Date: 10/24/17
Telephone number: (518) 792-1312
Filing requirements
An IDA must file this form within 30 days of the date the IDA appoints any project operator or other person as agent of the IDA, for purposes of extending any sales and compensating use tax exemptions.
The IDA must file a separate form for each person it appoints as agent, whether directly or indirectly, and regardless of whether the person is the primary project operator or agent. If the IDA authorizes a project operator or agent to appoint other persons as agent of the IDA, the operator or agent making such an appointment must advise the IDA that it has done so, so that the IDA can file a form within 30 days of the date of the new agent's appointment. The IDA should not file this form for a person who is not working on an IDA project if that person is not appointed as agent of the IDA. The IDA need not file this form if the IDA does not extend any sales or use tax exemption benefits for the project.
If an IDA modifies a project, such as by extending it beyond its original completion date, or by increasing or decreasing the amount of sales and use tax exemption benefits authorized for the project, the IDA must, within 30 days of the change, file a new form with the new information.
If an IDA amends, revokes, or cancels the appointment of an agent, or if an agent's appointment becomes invalid for any reason, the IDA must, within 30 days, send a letter to the address below for filing this form, indicating that the appointment has been amended, revoked, or cancelled, or is no longer valid, and the effective date of the change. It should attach to the letter a copy of the form it originally filed. The IDA need not send a letter for a form that is not valid merely because the "Completion date of project" has passed.
Purpose of project
For Purpose of project, enter one of the following:
- Services
- Agriculture, forestry, fishing
- Finance, insurance, real estate
- Transportation, communication, electric, gas, sanitary services
- Construction
- Wholesale trade
- Retail trade
- Manufacturing
- Other (specify)
Instructions
Mailing instructions
Mail completed form to:
NYS TAX DEPARTMENT
IDA UNIT
W A HARRIMAN CAMPUS
ALBANY NY 12227
Privacy notification
The Commissioner of Taxation and Finance may collect and maintain personal information pursuant to the New York State Tax Law, including but not limited to, sections 5-ia, 171-a, 287, 308, 428, 475, 505, 687, 1009, 1010, and 1015 of that Law; and may require disclosure of social security numbers in accordance with USC 4801(2)(c).
This information will be used to determine and administer tax liabilities and, when authorized by law, for certain tax offset and exchange of tax information programs as well as for any other lawful purpose.
Information concerning quarterly wages paid to employees is provided to certain state agencies for purposes of fraud prevention, support enforcement, evaluation of the effectiveness of certain employment and training programs and other purposes authorized by law.
Failure to provide the required information may subject you to civil or criminal penalties, or both, under the Tax Law.
This information is maintained by the Manager of Document Management, NYS Tax Department, W A Harriman Campus, Albany NY 12227; telephone (518) 487-5181.
Need help?
Internet access: www.tax.ny.gov (for information, forms, and publications)
Sales Tax Information Center: (518) 485-2689
To order forms and publications: (518) 457-5431
Text Telephone (TTY) Hotline (for persons with hearing and speech disabilities using a TTY): (518) 485-5082
|
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|
CC-MAIN-2024-30
|
https://warren-washingtonida.com/wp-content/uploads/2023/10/Mohawk-Industrial-Werks-LLC-ST60.pdf
|
2024-07-17T17:34:25+00:00
|
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| 557,228,001
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POSTCODE:
The Sydney Writers' Centre Editorial Style Guide for Business is available for $75. However, subscribers to our newsletter Get Published can purchase the Style Guide for the special price of $49. If you are not yet a subscriber you can easily subscribe below.
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* Teaching Professions
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ST. JOSEPH MINISTRY SCHEDULE for August 29, to December 26, 2020
5:00 pm Saturday (1st, 3rd, 5th Sunday of each month)
No ministry volunteers age 65 and older have been scheduled for Fall/Winter 2020.
No Servers or Communion Ministers at this time. You will be notified if this changes.
SERVERS
COMMUNION
| Hollie Smith | Will Trio Owen Barr | Christine Rahn | Paul & Gina FitzSimmons | Lonnie Wieseler |
|---|---|---|---|---|
| Parker Smith | Kyle Sohre Macy Sohre | Dan Sohre | Paul & Rhonda Barnard | Mary Caven |
| Patty Thomas | Ben Trio Zach Trio | Patty Thomas | Landon & Leah Davis | Lonnie Wieseler |
| Kelsey Sohre | Ethan McGregor Claire McGregor | Jim Wieseler | Rob & Sarah McGregor | Mary Caven |
| Jenn Berkner | Kalyn Sandmeyer Owen Barr | Landon Davis | Nick Caven | Lonnie Wieseler |
| Maty Caven | Isabel Hollerich Zach Trio | Paul FitzSimmons | Dan & Teresa Sohre | Mary Caven |
Hospitality - A list of responsibilites & safety guidelines to follow will be posted in the church entry.
Money Counters- A list of safety guidelines is forthcoming and you will be notified.
Sacristans - A new list of safety guidelines and procedures to follow will be in the sacristy.
If you cannot serve on your scheduled date, please remember to find a substitute.
THANK YOU for serving your parish through these ministries!
SERVERS
COMMUNION
| Julie FitzSimmons | Will Trio Owen Barr | Christine Rahn | Richard & Julie FitzSimmons | Lonnie Wieseler |
|---|---|---|---|---|
| Kevin FitzSimmons | Kyle Sohre Macy Sohre | Dan Sohre | Jeff & Kacie Kuchenbecker | Mary Caven |
| John Hollerich | Ben Trio Zach Trio | Patty Thomas | Jay & Cassie Winters | Lonnie Wieseler |
| Hollie Smith | Ethan McGregor Claire McGregor | Jim Wieseler | Scott & Kim Kleven | Mary Caven |
| Patty Thomas | Kalyn Sandmeyer Owen Barr | Landon Davis | David & Jody Trio | Lonnie Wieseler |
Hospitality - A list of responsibilites & safety guidelines to follow will be posted in the church entry.
Money Counters - A list of safety guidelines is forthcoming and you will be notified.
Sacristans - A new list of safety guidelines and procedures to follow will be in the sacristy.
If you cannot serve on your scheduled date, please remember to find a substitute.
THANK YOU for serving your parish through these ministries!
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HRI
International Human Rights Instruments
Distr.
GENERAL
HRI/CORE/1/Add.127 11 February 2004
ENGLISH
Original: FRENCH*
CORE DOCUMENT FORMING PART OF THE REPORTS OF STATES PARTIES
ALGERIA
[17 December 2003]
* As States parties have been informed, reports written in a language that is an official language of the State party will not be edited but will be sent directly to the translation services.
CONTENTS
Introduction
1. Since regaining independence in 1962, Algeria has endeavoured to establish a State which is based on grass-roots participation and respects human rights and fundamental freedoms. Independent Algeria's various constitutions have all embodied universal human rights principles. It was the move towards a multiparty system in 1989, however, that led Algeria to speed up the process of accession to international human rights instruments, and it has been submitting the reports due as a result of those international undertakings since that time.
2. Information on Algeria and its population:
Surface area:
2,380,000 square kilometres;
Population:
31,040,000 (1 January 2002), of whom 15,334,946 are women; the population is three times larger than it was at independence;
Per capita income:
US$ 1,630 (2001);
External debt:
US$ 22.571 billion (2001);
Unemployment rate: 28.9 per cent;
Official language:
Arabic;
National languages:
Arabic, Amazigh;
Religion:
Islam;
Life expectancy:
Overall: 71.5 years; men: 70.03 years;
women: 72.8 years;
Infant mortality rate (2000):
Boys: 54.2 per thousand; girls: 47.8 per thousand;
overall: 51.1 per thousand;
Maternal mortality rate: 117 per 100,000 births;
Total fertility rate:
2.54 (2000);
Children aged under 5:
32 per cent (2000);
Young people aged 15-24: 23 per cent;
Adults aged 25-59:
38 per cent;
Older persons aged 60 and over:
7 per cent;
Rural population:
12,943,686 (41.7 per cent);
Urban population:
18,096,326 (58 per cent).
I. GENERAL POLITICAL STRUCTURE
3. Algeria faced a series of challenges on independence: return of refugees, social and psychological care for the beneficiaries of victims of the war of national liberation, national reconstruction in all its aspects and setting-up of government structures. The institutions needed to enable a young nation to meet such challenges had to be designed and established and their effectiveness in the political and economic context of the time ensured. This reconstruction effort brought about compulsory schooling for all, free health care and a policy of full employment.
4. From 1988 onwards, there was a growing determination in Algeria to consolidate the rule of law and introduce a transition on two levels (political democratization and economic liberalization). As was the case elsewhere, this transition did not take place without difficulty. The building of a modern democratically functioning State with a transparent administration was hampered by domestic obstacles linked to a single-party culture and economic and social constraints.
5. The political reforms undertaken by the authorities since then, following a lengthy process of dialogue with all political parties that respect the Constitution and laws of the Republic, have resulted in institutions established on the basis of universal suffrage. The adoption by referendum of a revised Constitution on 28 November 1996 further strengthened freedoms, political pluralism, the separation of powers and the independence of the judiciary.
6. In addition to the Constitution, the democratization of public activity in Algeria today is based on three laws:
(a) The Political Parties Act, which was adopted in 1989 and amended in 1997, enabled more than 60 political groupings to emerge on the political scene. A subsequent adjustment brought the number of parties down to its current figure of 28;
(b) The Associations Act, promulgated in 1988 and amended in 1990, stipulates that associations may be established by a simple declaration of the founders, either at the wilaya (prefecture) or, for national associations, at the Ministry of the Interior. There are nearly 50,000 associations active in Algeria today; some, such as associations for the protection and promotion of women's rights, claim recognition as associations of public interest;
(c) The Information Act, which was adopted in 1990, paved the way for an independent or partisan press in addition to the public service press.
7. The first multiparty elections for the office of President of the Republic were held on 16 November 1995. They were followed by presidential elections on 15 April 1999, in advance of their scheduled date. The President's mandate is renewable only once. He holds the country's highest office, subject to the limits set by the Constitution, and appoints the head of Government, who then defines his programme and submits it for approval by the National People's Assembly.
8. Legislative power is exercised by Parliament, which consists of two houses: the National People's Assembly and the Council of the Nation (Senate). It monitors action by the Government and enacts laws. Following the legislative elections of 15 May 2002, the National People's Assembly now has 389 deputies, of whom 24 are women, representing 9 political parties, with 30 independents. The previous Assembly, the result of the 5 June 1997 elections, had 380 deputies, with 10 political parties and 11 independents. The Council of the Nation, established in December 1997, has 144 seats. Two thirds of its members are elected by a college of members of the municipal and departmental people's assemblies and the remaining third i.e., 48 members - are appointed by the President of the Republic.
9. The independence of the judiciary is provided for in article 138 of the Constitution.
II. GENERAL LEGAL FRAMEWORK WITHIN WHICH HUMAN RIGHTS ARE PROTECTED
A. Human rights mechanisms
10. Most of Algeria's early warning and monitoring machinery in the area of human rights is now in place. It covers both individual - civil and political - and collective - economic, social and cultural - rights. It is divided into four main categories of interrelated mechanisms.
1. Political mechanisms
11. The political mechanisms centre around Parliament, which, with its two houses - the National People's Assembly and the Council of the Nation - is both the institutional embodiment of the democratic component of the Algerian State and a fitting forum for the free, pluralistic expression of citizens' concerns. Human rights questions are a major topic of parliamentary discussions and are dealt with by permanent commissions established to that end by both houses.
12. Political parties are considered by law to be a component of human rights mechanisms. The Political Parties Act of 8 July 1989, amended in March 1997, requires party statutes and programmes explicitly to include among their objectives the safeguarding of individual rights and fundamental freedoms. Article 3 of the Act stipulates: "In all their activities, political parties are required to abide by the following principles and objectives:
Respect for individual and collective freedoms and for human rights;
Commitment to democracy and respect for national values;
Observance of a multiparty system;
Respect for the democratic and republican nature of the State."
2. Judicial mechanisms
13. The Algerian State has set up judicial machinery to guarantee citizens' rights and provide the justice system with decision-making autonomy. To that end, the judiciary in Algeria is composed as follows: (a) the daira (sub-prefecture level) courts, (b) the wilaya (departmental level) courts and (c) the Supreme Court at the national level.
14. Article 152 of the Constitution also provides for a Council of State, to serve as the body regulating the activity of the administrative courts. It was established on 17 June 1998 and is composed of 44 members.
15. Lastly, Parliament has adopted a law establishing a jurisdiction court, which is responsible for settling conflicts of jurisdiction between the Supreme Court and the Council of State, in accordance with article 152 of the Constitution.
3. Freedom of the press
16. The right to information and the freedom of the press are regarded by the law as part of the essential machinery for the monitoring and protection of the rights of the individual. The remarkable development of the press in Algeria has made it a real lever in collective protection of the rights of the individual. There are at the present time 32 daily papers, (compared with 25 at the time of the preceding report); 6 of these papers are in the official public sector (8 at the time of the preceding report), while 26 belong to the private sector and partisan interests (17 at the time of the preceding report). They have an average circulation of 1.5 million copies a day. There are 43 weekly papers, with an average total circulation of 1.4 million copies a week. Lastly, there are another 20 fortnightly or monthly periodicals, with a total circulation of 300,000 copies. Readership is estimated at 9 million per week.
17. Contrary to certain media reports, no Algerian journalist has been convicted of a crime of opinion. The only cases on record have involved trials for defamation or dissemination of false information. The non-publication of certain national newspapers is generally due to commercial disputes with their printers or to bankruptcy, as is the case in other countries.
18. As the international organizations themselves have acknowledged, the Algerian press is one of the freest in the developing world. The International Federation of Journalists, of which Algeria is a member of the Executive, is accredited in Algeria, and its North Africa office is situated in Algiers.
19. Since the completion of the institutional process by which Algeria acquired all the legal instruments needed for the democratic functioning of a State based on the rule of law, no legal proceedings have been taken against any newspaper, despite the fact that there would have been ample justification for judicial action to seek reparation for "repeated defamation and insults" on the part of certain newspapers. It should be noted in this context that the restrictions imposed at one time on the processing of security information have been lifted.
20. Foreign journalists regularly receive accreditation in Algeria. Accreditation is granted under a specific mechanism in order to process applications more flexibly and rapidly. A sign of Algeria's accessibility to foreign journalists is the fact that 1,200 of them visited the country in 1997, 626 in 1998, 839 in 1999, 706 in 2000, 654 in 2001 and 593 in the period up to 30 September 2002.
21. Negative and, on occasion, tendentious articles by some of these journalists have not prevented their authors from making repeated visits to the country.
4. Civil society and trade union machinery
22. Civil society associations have spread considerably since 1988. At the national level, there are currently nearly 50,000 associations active in various fields. The Algerian Constitution gives prominence to freedom of association for the defence of human rights. Article 32 guarantees the individual and collective defence of these rights and article 41 defines the area of application: freedom of expression, association and assembly. Freedom of association naturally includes the political field, but is also used to protect certain specific rights, the rights of women, children, the sick, the disabled, consumers and public service users. The authorities encourage the work of associations by granting them various subsidies and facilities.
23. Most associations now have statutes, established bases and activities that enable them to fit in with networks of international associations. Associations working for women's rights and education or combating illiteracy are especially active.
24. Trade union freedom is established in the Constitution and regulated by the Act of 21 December 1991. More detailed information can be found in Part Two (in the section on article 8).
5. Other mechanisms for the protection and promotion of human rights
25. On 9 October 2001, the President officially inaugurated the National Advisory Commission for the Promotion and Protection of Human Rights, which has 45 members, including 13 women. Members are selected and appointed on the basis of social and institutional pluralism.
26. The Commission was established under Presidential Decree No. 01-71 of 25 March 2001, as "an independent institution under the President of the Republic, which shall safeguard the Constitution, the fundamental rights of citizens and public freedoms".
27. The Commission is also a human rights advisory body with monitoring, early warning and evaluation functions.
28. The Commission is responsible for investigating any violations of human rights that may be reported or brought to its notice, and for taking appropriate action. Part of its mission is also to conduct awareness-raising, information and public relations activities in favour of human rights, to promote research, education and teaching in that area and to advise on possible enhancements to domestic legislation. The Commission produces an annual report on the state of human rights, for submission to the President of the Republic.
29. This new institution replaces the National Human Rights Observatory, which was wound up under the same presidential decree that established the Commission.
30. In order to bring the new body into line with the Paris Principles, Decree No. 01-71 of 25 March 2001 was amended by Decree No. 02-297 of 23 September 2002.
B. International treaties and the domestic legal order
31. Algeria's international commitments prevail over domestic law. In a decision dated 20 August 1989, the Constitutional Council reaffirmed the constitutional principle according to which duly ratified international treaties prevail over domestic law: "... after ratification and upon publication, any convention is incorporated into domestic law and, pursuant to article 132 of the Constitution, acquires a higher status than the law, thereby permitting any Algerian citizen to invoke it in the courts". Consequently, private citizens may avail themselves of the protective mechanisms established by the Human Rights Committee and the Committee against Torture once domestic remedies have been exhausted.
32. The Algerian authorities, the National Advisory Commission for the Promotion and Protection of Human Rights (CNCPPDH), associations and the media make much of the possibility of seeking remedies under international mechanisms. In practice, Algerian citizens and their lawyers seem satisfied with the many domestic remedies available (courts, CNCPPDH).
III. INFORMATION AND PUBLICITY
33. Algeria's ratification of international human rights instruments was extensively publicized in the national media when they were submitted for consideration and adoption by the National Assembly. All the instruments thus ratified were published in the Official Gazette.
34. In addition to the symposia and seminars regularly organized on this topic, the annual celebration of Human Rights Day on 10 December is an occasion for publicizing the various international human rights instruments to which Algeria is a party. Similarly, 8 March and 1 June offer regular opportunities to reaffirm the importance and role of women and children in society.
35. In universities, a module entitled "Public freedoms", which used to be taught in the law faculties, has been reintroduced with an updated syllabus which takes account of international developments and recent accessions. Some universities, such as Oran, Tizi Ouzou and Annaba, have already created specific modules. Human rights are taught to students at the National Judicial Training Institute, the Police Training School and the National Prison Administration Training School.
36. A UNESCO Chair in the teaching of human rights has been established at the University of Oran. Inaugurated in December 1995, it provides an educational framework within which to organize and promote an integrated system of human rights research, teaching, information and documentation. Preparations are under way to establish a master's degree specifically in the field of human rights. Regular workshops on human rights and humanitarian law are organized and their proceedings have been published. The National Human Rights Observatory popularizes the human rights principles embodied in domestic legislation and the international instruments to which Algeria is a party by, among other things, publishing journals and organizing and sponsoring seminars, exhibitions and workshops in cooperation with civil society associations.
37. Since the beginning of the decade, Algeria has been in a period of transition at two levels: to a multiparty democracy and to a market economy. It is a complex transition, made more difficult in particular by the state of the Algerian economy and the unfavourable international economic situation. These economic problems have provided fertile ground for dissent, which some forces have attempted to use in order to oppose the process of change within the country, in part by resorting to terrorist acts.
38. In order to deal with this new situation, the Algerian authorities decided to declare a state of emergency in February 1992. Although the state of emergency did impose some restrictions on the exercise of public rights and freedoms, it did not relieve the State of its obligation to guarantee the right to exercise the fundamental civil rights provided for in the existing domestic constitutional order and in the international agreements ratified by Algeria. Similarly, action to preserve public order and protect individuals and property threatened by terrorism has always been carried out in accordance with the law and with due regard for the undertakings deriving from various international instruments. The purpose of such action is to strengthen the rule of law and re-establish the conditions that legitimized the country's institutions through a return to the genuinely free, multiparty and democratic universal suffrage seen in Algeria's elections in 1995, 1996, 1997, 1999 and 2002.
-----
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ADOPTED REGULATION OF THE PUBLIC UTILITIES
COMMISSION OF NEVADA
LCB File No. R054-97
Effective November 14, 1997
EXPLANATION--Matter in italics is new; matter in brackets [ ] is material to be omitted.
AUTHORITY: NRS 704.210.
Section 1. NAC 703.190 is hereby amended to read as follows:
703.190 1. In [the case of a water company, in] addition to all [other] applicable requirements of NAC 703.175, an application for a certificate of public convenience and necessity, or an application to amend an existing certificate of public convenience and necessity, to provide water service must include [:
1. As a part of the] a description of the proposed [construction or extension:
(a) A brief summary of applicable water rights.
(b)] service area or proposed addition to an existing service area, including:
(a) An estimate of the number of customers and of the water requirements for the proposed service area or addition.
(b) A plan that demonstrates the continuing ability of the utility to meet the needs, relating to water resources, of the entire service area to be served by the utility. In lieu of such a plan, the utility may provide information which demonstrates that the utility has adequate resources to meet such needs, including, without limitation:
(1) Copies of all documents evidencing water rights and accompanying maps . [and the status of all the rights.
(c)] (2) A description of the source of the water, such as a spring, river, lake or underground water supply.
[(d) If the source of the water is on the surface of the ground, hydrological]
(3) Hydrological data defining the reliability of the source . [, and the capacity and ratings of any mechanical or storage facility, or both.
(e) If the source of the water is below the surface of the ground, copies]
(4) Copies of applicable well logs and pump tests showing production as a function of draw down versus time.
[(f)] (5) Any additional information which is necessary to demonstrate the ability of the utility to meet such needs.
(c) A general description, including applicable maps of required facilities, which demonstrates the ability of the utility to provide adequate water service to the proposed service area or addition, including, but not limited to:
(1) Facilities for water storage;
(2) Facilities for water treatment;
(3) Wells;
(4) Pumps; and
(5) Mains for distribution or transmission, or both.
(d) Flow analysis calculations or computer modeling outputs which demonstrate the ability of the utility to provide an acceptable level of service.
(e) Written agreements or statements from property owners, approved subdivision maps and any other documentation that demonstrates the need for water service in the area for which the certificate or amended certificate is requested.
2. In addition to the information required by subsection 1, a utility requesting an initial certificate of public convenience and necessity must include with its application:
(a) Copies of the latest quality tests, both mineral and biological, made on the water and a comparison of the results with the standards established by the local government.
[(g)] (b) A brief description of the operation of the facilities to be used to maintain quality.
[(h) A brief description of storage facilities, the storage capacity in gallons of each facility, and a comparison of the existing storage capacity and the present storage requirements. The method of calculating present storage requirements must be clearly shown.
(i) The static and residual pressure of each fire hydrant for the area to be served.
(j) A copy of the results of the latest]
(c) Results of any test relating to the flow of fire hydrants performed by the local authority responsible for fire protection.
[(k) Flow analysis calculations.
(l) The names of the owners of the property in the area to be served.
(m) The zoning requirements of the area to be served.
2. As a part of the map required by subsection 3 of NAC 703.175,]
(d) A map depicting the location of each [line, valve and] facility of the water system, and indicating its size, the material of which it is made and the date of its installation. If an accurate map of the current system is not available, the application must state what action is being taken to prepare such a map.
[3. An estimate of the number of customers to be served in the area for which the certificate is sought and the requirements for water for the first 5 years of operation.
4.] (e) A description of existing and proposed [normal and] emergency standby facilities for production, storage and maintenance of pressure to serve the proposed service area . [for which the certificate is sought, and the estimated time it will take to construct them.
5.] (f) A statement of the estimated operating revenues and expenses, including taxes and depreciation, for the first 5 years of operation in the proposed service area, for each major class of service.
[6.] If the applicant anticipates that the utility will initially operate at a loss, the statement must identify the sources of money that will be used to sustain the operation of the utility during that initial period.
(g) A description of the operating plans for the proposed service area [. If the applicant has operated as a water company in this state, the description must include a statement as to whether the proposed service area will be served by new personnel. If the applicant has not operated as a water company in this state, the description must include, if available, but is ] , including, but not limited to:
[
(a) For
]
(1) The name, address and telephone number of each principal manager and each [of the operating personnel, his name, position and the address and telephone number of his business.
(b) A brief] certified operator of the utility.
(2) A description of:
[(1)] (I) The operation of the water system, including manual, automatic or timed functions, and the name of any person responsible for its daily operation.
--4--
[(2)] (II) The normal procedures for maintenance used to ensure the proper operation of the system.
[(3)] (III) The program, if any, under which worn out facilities are to be replaced.
[(c)] (3) The name of the person to contact when the system is not operating properly [,] and the manner in which he may be contacted . [and the name of the person responsible for performing the necessary repairs.
(d)] (4) The manner in which repairs to the system are recorded.
[(e)] (5) The name of the person a customer may contact when he has a complaint and the manner in which that person may be contacted.
[(f)] (6) An explanation of whether and to what extent customers will directly or indirectly make contributions to the costs of the facilities of the proposed water or sewer system. The explanation must [include an indication of] indicate whether the applicant intends to assess charges or has assessed charges for the extension of any lines and whether the price of lots or units in the subdivision will reflect the cost of the developer's investment in the proposed system.
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FINANCIAL STATEMENTS
DECEMBER 31, 2023
TABLE OF CONTENTS
DECEMBER 31, 2023
INDEPENDENT AUDITOR'S REPORT
To the Directors of Simon House Residence Society
Opinion
We have audited the financial statements of Simon House Residence Society (the "Society"), which comprise the statement of financial position as at December 31, 2023, and the statement of operations, statement of changes in net assets and statement of cash flows for the year then ended, and notes to the financial statements, including a summary of significant accounting policies.
In our opinion, the accompanying financial statements present fairly, in all material respects, the financial position of Simon House Residence Society as at December 31, 2023, and the results of its operations, changes in net assets and its cash flows for the year then ended in accordance with Canadian accounting standards for not-for-profit organizations ("ASNPO").
Basis for Opinion
We conducted our audit in accordance with Canadian generally accepted auditing standards. Our responsibilities under those standards are further described in the Auditor's Responsibilities for the Audit of the Financial Statements section of our report. We are independent of the Society in accordance with the ethical requirements that are relevant to our audit of the financial statements in Canada, and we have fulfilled our other ethical responsibilities in accordance with these requirements. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our opinion.
Responsibilities of Management and Those Charged with Governance for the Financial Statements
Management is responsible for the preparation and fair presentation of the financial statements in accordance with Canadian accounting standards for not-for-profit organizations, and for such internal control as management determines is necessary to enable the preparation of financial statements that are free from material misstatement, whether due to fraud or error.
In preparing the financial statements, management is responsible for assessing the Society's ability to continue as a going concern, disclosing, as applicable, matters related to going concern and using the going concern basis of accounting unless management either intends to liquidate the Society or to cease operations, or has no realistic alternative but to do so.
Those charged with governance are responsible for overseeing the Society's financial reporting process.
Auditor's Responsibilities for the Audit of the Financial Statements
Our objectives are to obtain reasonable assurance about whether the financial statements as a whole are free from material misstatement, whether due to fraud or error, and to issue an auditor's report that includes our opinion. Reasonable assurance is a high level of assurance, but is not a guarantee that an audit conducted in accordance with Canadian generally accepted
Baker Tilly Catalyst is a member of Baker Tilly Canada Cooperative, which is a member of the global network of Baker Tilly International Limited. All members of Baker Tilly Canada Cooperative and Baker Tilly International Limited are separate and independent legal entities.
1
INDEPENDENT AUDITOR'S REPORT, continued
auditing standards will always detect a material misstatement when it exists. Misstatements can arise from fraud or error and are considered material if, individually or in the aggregate, they could reasonably be expected to influence the economic decisions of users taken on the basis of these financial statements. As part of an audit in accordance with Canadian generally accepted auditing standards, we exercise professional judgment and maintain professional skepticism throughout the audit. We also:
Identify and assess the risks of material misstatement of the financial statements, whether due to fraud or error, design and perform audit procedures responsive to those risks, and obtain audit evidence that is sufficient and appropriate to provide a basis for our opinion. The risk of not detecting a material misstatement resulting from fraud is higher than for one resulting from error, as fraud may involve collusion, forgery, intentional omissions, misrepresentations, or the override of internal control.
Obtain an understanding of internal control relevant to the audit in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the Society's internal control.
Evaluate the appropriateness of accounting policies used and the reasonableness of accounting estimates and related disclosures made by management.
Conclude on the appropriateness of management's use of the going concern basis of accounting and, based on the audit evidence obtained, whether a material uncertainty exists related to events or conditions that may cast significant doubt on the Society's ability to continue as a going concern. If we conclude that a material uncertainty exists, we are required to draw attention in our auditor's report to the related disclosures in the financial statements or, if such disclosures are inadequate, to modify our opinion. Our conclusions are based on the audit evidence obtained up to the date of our auditor's report. However, future events or conditions may cause the Society to cease to continue as a going concern.
Evaluate the overall presentation, structure and content of the financial statements, including the disclosures, and whether the financial statements represent the underlying transactions and events in a manner that achieves fair presentation.
We communicate with those charged with governance regarding, among other matters, the planned scope and timing of the audit and significant audit findings, including any significant deficiencies in internal control that we identify during our audit.
CALGARY, ALBERTA APRIL 9, 2024
CHARTERED PROFESSIONAL ACCOUNTANTS
2
SIMON HOUSE RESIDENCE SOCIETY STATEMENT OF FINANCIAL POSITION DECEMBER 31, 2023
STATEMENT OF OPERATIONS FOR THE YEAR ENDED DECEMBER 31, 2023
SIMON HOUSE RESIDENCE SOCIETY STATEMENT OF CHANGES IN NET ASSETS FOR THE YEAR ENDED DECEMBER 31, 2023
Investment in
SIMON HOUSE RESIDENCE SOCIETY STATEMENT OF CASH FLOWS
FOR THE YEAR ENDED DECEMBER 31, 2023
NOTES TO THE FINANCIAL STATEMENTS
FOR THE YEAR ENDED DECEMBER 31, 2023
1. Nature of operations
Simon House Residence Society (the "Society") is a non-profit organization providing residential treatment services for men in the community to help them achieve long-term recovery from addiction. The Society is registered as a charity and is incorporated under the Societies Act of the Province of Alberta. The Society is exempt from taxes pursuant to section 149(1)(I) of the Income Tax Act.
2. Significant accounting policies
These financial statements are prepared in accordance with Canadian accounting standards for not-for-profit organizations. The significant policies are detailed as follows:
(a) Cash
Cash is defined as cash on hand and cash on deposit, net of cheques issued and outstanding at the report date.
(b) Capital assets
Capital assets are recorded at cost less accumulated amortization. The Society provides for amortization using the declining balance method at rates designed to amortize the cost of the capital assets over their estimated useful lives. One half of the year's amortization is recorded in the year of acquisition. No amortization is recorded in the year of disposal. The annual amortization rates are as follows:
Capital assets are reviewed for impairment whenever events or changes in the circumstances indicate that the carrying value may not be recoverable. If the total of the estimated undiscounted future cash flows is less than the carrying value of the asset, an impairment loss is recognized for the excess of the carrying value over the fair value of the asset during the year the impairment occurs.
NOTES TO THE FINANCIAL STATEMENTS
FOR THE YEAR ENDED DECEMBER 31, 2023
2. Significant accounting policies, continued
(c) Revenue recognition
The Society follows the deferral method of accounting for contributions.
Externally restricted contributions are recognized as revenue in the year in which the related expenses are incurred. Externally restricted contributions include; casino income, bingo income and grant income. Casino income is subject to external restrictions established by the Alberta Gaming and Liquor Commission.
Unrestricted contributions are recognized as revenue when received or receivable if the amount to be received can be reasonably estimated and collected is reasonably assured. Unrestricted contributions include; program fees and donations.
(d) Internally restricted reserve
The internally restricted reserve has been put in place by the Board of Directors of the Society to cover any unexpected costs to the Society in order to ensure its continued operations. The funds are internally restricted by means of deposit into Guaranteed Investment Certificates as described in Note 3 to these financial statements.
(e) Contributed materials and services
The operations of the Society depend on both the contribution of time by volunteers and donated materials from various sources. The fair value of donated materials and services cannot be reasonably determined and are therefore not reflected in these financial statements.
(f) Measurement uncertainty
The preparation of financial statements in accordance with Canadian accounting standards for not-for-profit organizations requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities at the date of the financial statements, and the reported amounts of revenues and expenses during the period. Significant areas requiring the use of estimates include: estimated useful lives of capital assets and deferred capital contributions. Actual results may differ from management's best estimates as additional information becomes available in the future.
NOTES TO THE FINANCIAL STATEMENTS FOR THE YEAR ENDED DECEMBER 31, 2023
2. Significant accounting policies, continued
(g) Financial instruments
(i) Measurement of financial instruments
The Society initially measures its financial assets and liabilities at fair value.
The Society subsequently measures all its financial assets and financial liabilities at amortized cost.
Financial assets measured at amortized cost include cash, short-investments and accounts receivable.
Financial liabilities measured at amortized cost include accounts payable and accrued liabilities.
The society has not designated any financial asset or financial liability to be measured at at fair value.
(ii) Impairment
Financial assets measured at amortized cost are tested for impairment when there are indicators of impairment. The amount of the write-down is recognized in operations. The previously recognized impairment loss may be reversed to the extent of the improvement, directly or by adjusting the allowance account, provided it is no greater than the amount that would have been reported at the date of the reversal had the impairment not been recognized previously. The amount of the reversal is recognized in operations.
3. Short-term Investments
Short-term investments are comprised of two Guaranteed Investment Certificates ("GIC's") which bear interest between 4.75% of 5.35% per annum and mature between April 30, 2024 and November 30, 2024.
NOTES TO THE FINANCIAL STATEMENTS FOR THE YEAR ENDED DECEMBER 31, 2023
4. Capital assets
The fair market value of the land and building at December 31, 2023 is $3,282,000 (2022 - $3,111,500) per the City of Calgary property assessments.
Amortization of capital assets is $44,078 and deferred capital contributions is $12,944 (Note 6).
5. Deferred contributions
NOTES TO THE FINANCIAL STATEMENTS
FOR THE YEAR ENDED DECEMBER 31, 2023
6. Deferred capital contributions
7. Interfund transfers
During the year, $32,520 of interest received on funds already internally restricted was transferred from the unrestricted surplus to the internally restricted funds for short-term and long-term investments restricted for Board priorities (see Note 3)
Also during the year, $29,576 was transferred from the unrestricted surplus to the investment in capital assets for capital purchases.
8. Charitable Fundraising Act of Alberta
Gross contributions received were $96,378 (2022 - $86,804).
Gross contributions received were used in accordance with the internal and external restrictions imposed by the donor's request and the Society's disbursement policies. Undesignated donations are allocated for use by the Board of Directors of the Society.
All expenditures incurred, directly and indirectly, for the purpose of soliciting contributions were $18,065 (2022 - $50,956). No remuneration was paid for fundraising activities.
9. Comparative figures
The financial statements have been reclassified, where applicable, to conform to the presentation used in the current year. The changes do not affect prior year earnings.
NOTES TO THE FINANCIAL STATEMENTS
FOR THE YEAR ENDED DECEMBER 31, 2023
10. Financial instruments
The Society is exposed to various financial risks through transactions in financial instruments. The following provides helpful information in assessing the extent of the Society's exposure to these risks.
(a) Credit risk
Credit risk is the risk that one party to a financial instrument will cause a financial loss for the other party by failing to discharge an obligation. The Society's main credit risk relates to its accounts receivable.
(b) Liquidity risk
Liquidity risk is the risk that the Society will encounter difficulty in meeting obligations associated with financial liabilities. The Society is exposed to this risk mainly in respect of its accounts payable and accrued liabilities.
(c) Interest rate risk
Interest rate risk is the risk that the fair value or future cash flows of a financial instrument will fluctuate because of changes in market interest rates. The Society is exposed to interest rate risk on its fixed interest rate financial instruments. Fixedrate financial instruments subject the Society to a fair value risk.
Unless otherwise noted, it is management's opinion that the Society is not exposed to significant other price risks arising from these financial statements.
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University of Michigan EH&S
Ann Arbor, MI 48109-1010
(734)647-1142
FOOD ESTABLISHMENT INSPECTION REPORT
Based on an evaluation this day, the items marked below are violations of the Michigan Food Law. Violations cited in this report shall be corrected within the time frames specified below, but within a period not to exceed 10 calendar days for priority or priority foundation items (§8-405.11) or 90 days for core items (§8-406.11). Failure to comply with this notice may result in license suspension and/or other legal action. You have the right to appeal any violations listed.
11:06:45 AM
Violation Category
Victors Way Cafe CGC & UM Hospital Connector 1500 E. Medical Center Dr. ZIP CODE NOT FOUND Person In Charge (PIC):Elle King
SFE 5081 075510 1/12/2023
Repeat Violation Description/Remarks/Correction Schedule
Correct By
Manager Certified
License Posted
Antichoking Poster
CO2 Tanks Secured
Routine Inspection
INSPECTION TYPE:
Yes
Yes
Yes
N/A
Establishment Phone: (734) 930-7000
7/8/2022
Last Routine:
Corrected
This Facility was inspected by Nonda Mihas, a representative from University of Michigan, on 1/12/2023 to determine the level of compliance with the Michigan Food Law, P.A. 92 of 2000, as amended.
Entire establishment
4-302.12
(A) FOOD TEMPERATURE MEASURING DEVICES shall be provided and readily
accessible for use in ensuring attainment and maintenance of FOOD temperatures as
specified under Chapter 3. (Pf)
(B) A TEMPERATURE MEASURING DEVICE with a suitable small-diameter probe that is designed to measure the temperature of thin masses shall be provided and readily accessible to accurately measure the temperature in thin FOODS such as MEAT patties and FISH filets. (Pf)
Item(s):
Food thermometer(s)
Probed food thermometer must be provided and readily available to ensure proper cooking temperatures.
Observed no working probed food thermometer present in the facility.
Correct immediately by providing probed food thermometer and having it readily available for use. In addition, probed food thermometer shall be used routinely to monitor safe food temperatures.
1/12/2023
01/22/23
Priority Foundation
4-302.14
A test kit or other device that accurately measures the concentration in mg/L of
SANITIZING solutions shall be provided. (Pf) Priority Foundation
Item(s):
Sanitizer test kit quaternary ammonia
Not provided
Problem(s):
Provide.
Correction(s):
Sanitizing test strips shall be provided.
Observed facility does not have quaternary ammonia test strips.
Correct immediately by providing quaternary ammonia test strips to ensure proper
1/12/2023
01/22/23
Page 1 of 2
SFE 5081 075510 Victors Way Cafe
Violation Category
Repeat Violation Description/Remarks/Correction Schedule
1/12/2023
11:07:27 AM
Correct By
Entire establishment
concentration when using it in red pails to sanitize food-contact surfaces of equipment and nonfood-contact surfaces of equipment.
Closing Comments:
The inspection software was malfunctioning at the time of the routine inspection and no signature was able to be captured from the person in charge.
UM EH&S is now listing routine inspection reports for all campus food establishments on-line. Reports can be viewed at http://ehs.umich.edu/campus-life-safety/food-safety/inspections/
Person in charge (Name and Title)
Inspected By (Name and Title)
This signature does not imply agreement or disagreement with any violation noted.
Nonda Mihas
Page 2 of 2
Corrected
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Commonwealth of Virginia Virginia Department of Education
Superintendent's Memo #103-22
DATE:
May 13, 2022
TO:
Division Superintendents
FROM:
Jillian Balow, Superintendent of Public Instruction
SUBJECT: Public Engagement Sessions - Mathematics Standards of Learning Revisions
The Virginia Department of Education (VDOE) will host six public engagement sessions to allow parents, families, and community members to participate in the review and revision of the 2016 Mathematics Standards of Learning. The five regional face-to-face sessions and one virtual session will begin with presentations by VDOE staff about the Standards of Learning revision process, followed by an opportunity for participants to share feedback about the Commonwealth's current mathematics standards and suggest revisions.
Face-to-Face Meetings will be held from 7 p.m.-8 p.m. in the following locations:
Richmond Area - May 18, 2022 John Tyler Community College - Chester Campus 13101 Jefferson Davis Highway Chester, Virginia 23831 Room: Nicholas Center, Room 102A
Tidewater Area - May 19, 2022 Tidewater Community College – Chesapeake Campus 1428 Cedar Road Chesapeake, Virginia 23322 Chesapeake Student Center Room: Chesapeake Bay Room (1st Floor, Left Entrance)
#103-22
1
Northern Virginia Area - May 23, 2022 Northern Virginia Community College – Annandale Campus 8333 Little River Turnpike Annandale, Virginia 22003 Richard J. Ernst Community Cultural Center
Blacksburg Area - June 8, 2022 New River Community College 5251 College Drive Dublin, Virginia 24084 Room: Edwards Hall - Room 117 (Multi-Purpose Training Lab)
Staunton/Harrisonburg Area - June 9, 2022 Blue Ridge Community College One College Lane Weyers Cave, Virginia 24486 Room: Robert E. Plecker Workforce Center
Registration for one of these in-person meetings using the following face-to-face registration link is requested but will not be required to attend.
Virtual Parent Session, June 13, 2022 Registration in advance will be required for this meeting using the following virtual registration link. After registering, you will receive a confirmation email containing information about joining the meeting.
For more information
Please contact Tina Mazzacane, K-12 Mathematics Coordinator, Office of STEM and Innovation, for more information at (804) 225-4849 or [email protected].
JB/TLM
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University of New Hampshire
University of New Hampshire Scholars' Repository
Languages, Literatures, and Cultures Scholarship
Languages, Literatures, and Cultures
3-1-2004
Book Review: Nuevos Contextos: 12 Cuentistas Contemporáneos de Hispanoamérica
Lina Lee
University of New Hampshire, Durham, [email protected]
Follow this and additional works at: http://scholars.unh.edu/lang_facpub
Part of the Spanish and Portuguese Language and Literature Commons
Recommended Citation
Lee, Lina. Book Review: Nuevos Contextos: 12 Cuentistas Contemporáneos de Hispanoamérica. Hispania, 87(1), 94-96, 2004. https://doi.org/10.2307/20062997
This Article is brought to you for free and open access by the Languages, Literatures, and Cultures at University of New Hampshire Scholars' Repository. It has been accepted for inclusion in Languages, Literatures, and Cultures Scholarship by an authorized administrator of University of New Hampshire Scholars' Repository. For more information, please contact [email protected].
Book Review: Nuevos Contextos: 12 Cuentistas Contemporáneos de Hispanoamérica
Comments
Copyright © 2004 American Association of Teachers of Spanish and Portuguese. This article first appeared in Hispania 87:1 (2004), 94-96. Reprinted with permission by Johns Hopkins University Press.
Review
Reviewed Work(s): Nuevos contextos: 12 cuentistas contemporáneos de Hispanoamérica by
Teresa Méndez-Faith
Review by: Lina Lee
Source: Hispania, Vol. 87, No. 1 (Mar., 2004), pp. 94-96
Published by: American Association of Teachers of Spanish and Portuguese
Stable URL: http://www.jstor.org/stable/20062997
Accessed: 31-05-2017 17:22 UTC
JSTOR is a not-for-profit service that helps scholars, researchers, and students discover, use, and build upon a wide range of content in a trusted digital archive. We use information technology and tools to increase productivity and facilitate new forms of scholarship. For more information about JSTOR, please contact [email protected].
Your use of the JSTOR archive indicates your acceptance of the Terms & Conditions of Use, available at http://about.jstor.org/terms
American Association of Teachers of Spanish and Portuguese is collaborating with JSTOR to digitize, preserve and extend access to Hispania
This content downloaded from 188.8.131.52 on Wed, 31 May 2017 17:22:21 UTC
All use subject to http://about.jstor.org/terms
94 H?spanla 87 March 2004
como a la profusi?n de ejercicios y aplicaciones que ofrece para actividades dentro y fuera del aula, j Lo recomiendo calurosamente!
Domnita Dumitrescu
California State University, Los Angeles
Lee, James F., Kimberly L. Geeslin, and J. Clancy Clements, eds. Structure, Meaning, and Acquisition in Spanish: Papers from the Fourth Hispanic Linguistics Symposium. Somerville, CA: Cascadilla, 2002. Pp. 335. ISBN 1-57473-024-X.
Como uno espera de un libro que representa las presentaciones de un congreso, ?sta no es una introducci?n a la ling??stica hisp?nica sino una compilaci?n de estudios. Se organiza en cuatro secciones: la ling?istica hist?rica, la adquisici?n y el uso del idioma, la sint?ctica y sem?ntica, y la morfolog?a y fonolog?a. Dentro de estas categor?as, los temas de las investigaciones var?an desde las patronas de la intonaci?n del espa?ol dominicano hasta los modales del catal?n. Todos los estudios emplean m?todos cuantitativos de investigaci?n.
Los estudios reflejan bien la variedad de temas de las investigaciones que se hacen en la disciplina, pero hay una falta de estudios sobre la ling??stica aplicada. En la segunda secci?n, que incluye estudios sobre el uso del idioma, hay una sola investigaci?n sobre la adquisici?n de espa?ol por los estudiantes. Esta, que se llama "Subjunctive Instruction Enhanced with Syntactic Instruction," es un estudio que examina la efectividad en la concientizaci?n del estudiante en cuanto a las caracter?sticas sint?cticas que influyen en el uso del subjuntivo. Todos los otros estudios en esta secci?n tratan el uso del espa?ol y no la adquisici?n. Ya que se menciona en el t?tulo del libro la idea de la adquisici?n, el lector espera m?s investigaciones sobre el tema en la compilaci?n.
Tambi?n en esta secci?n hay un par de estudios sobre el espa?ol dominicano. Lunn, cuyo estudio "Tout se tient in Dominican Spanish" presenta una investigaci?n sobre los cambios fonol?gicos en el espa?ol dominicano, teoriza que existen varios procesos que afectan la p?rdida de la -s en las formas informales de los verbos en la Rep?blica Dominicana. Dice ella que su trabajo aqu? no contribuye nada al debate sobre los cambios fonol?gicos en este contexto sino que explica la idea de que no hay solamente un proceso compensatorio y que es muy dif?cil eliminar otros procesos para probar una teor?a. Es bien hecho el estudio, sin embargo, y s? es una buena contribuci?n.
Por su parte, Toribio tiene un estudio en esta compilaci?n, "Focus on Clefts in Dominican Spanish." Es una continuaci?n de su trabajo que intenta sintetizar y analizar las caracter?sticas m?s importantes del idioma dominicano. Este estudio, junto con el de Lunn, provee al lector una variedad de puntos de vista sobre el espa?ol dominicano.
Por lo general, los estudios que se incluyen aqu? tratan muchos aspectos del espa?ol. Por ejemplo, Rossomondo examina una caracter?stica madrile?a en "Pronominal Address Forms in Madrid," y Face investiga una subcategor?a de la fonolog?a de la entonaci?n en "The Internal Structure of Pitch Accents."
Una cosa que habr?a sido ?til es el uso de los abstractos. Todos los estudios tienen introduc ciones, pero en algunos casos son bastante largos, y el lector necesita un resumen sencillo para obtener una idea del enfoque de cada estudio. Aparte de eso, el contenido y la presentaci?n de los estudios son buenos, y uno puede sacar informaci?n e ideas sobre algunos de los temas interesantes de la disciplina.
Denise M. Overfield
State University of West Georgia
M?ndez-Faith, Teresa. Nuevos contextos: 12 cuentistas contempor?neos de Hispanoam?rica. Boston: Heinle and Heinle, 2002. Pp. 265. ISBN 0-03-033914-6.
This new reader consists of a collection of twelve short stories by contemporary writers from
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Latin American countries, Puerto Rico and the United States. It is designed to se introduction to Hispanic literature for Intermediate Spanish and beyond. Male and fe are equally represented, including the most recognized writers: Gabriel Garc?a M?rq Isabel Allende. Through a variety of topics, the writers share their ideas and opinions dreams and life experiences with the reader. Although some stories are more linguistically and stylistically than others, they do not necessarily follow any order. E is treated as an independent unit to provide flexibility of use. Black-and-white pho illustrations are presented throughout the text to support the information in each chapte glossary of literary terms defined in English, a list of suggested films and visual arts cor each chapter, and a vocabulary index, with English and Spanish entries as quick refe included at the end of the book.
The entire text is written in Spanish. The book opens with a brief introduction to t porary Spanish American story by defining the word "story" from the historical poin Each of the book's twelve chapters is devoted to one particular author, along with o pieces of his/her writing. The organization of this text follows the same sequ biogr?fica, Gu?a deprelectura, Antes de leer, Selecci?n literaria, Despu?s de leer, M?s texto, Texto en contexto: Una perspectiva entre muchas, En torno a la entrevista. Each begins with Nota biogr?fica, which highlights the background of the author and his/ works. Gu?a de prelectura immediately follows, presenting a very useful brief orienta historical, social and political background of the selected text. Clearly, Nuevos context the most commonly-used practice to approach reading: that is, the use of pre-reading reading exercises to assist students in the reading process. Although the types of v exercises, such as fill-in-the-blanks, multiple choices, synonyms and definitions, va chapter to chapter, only one exercise is offered in each Antes de leer section. Additiona to practice new words would expand students' knowledge of vocabulary, which is cruci for L2 reading skills, but also writing and speaking skills. The use of films and Interne is a wonderful way to allow students to expand their cultural understanding and aware Hispanic world. In "Para pensar y preparar" under the Antes de leer section, students ar use the Internet or view a movie and to discuss the issues related to the selected readi questions could be overwhelming to the students who do not have access to the movie have the skills to search online to find the information. Perhaps specific instructions for project-based activities and strategies for online search could be added to future edi provide guidance in the practical use of the materials.
In Selecci?n literaria, the use of extra exercises of "Comprensi?n" between section reading helps to guide students through the reading process. They are, however, in throughout the entire book. The Despu?s de leer section offers numerous inter stimulating questions to check students' reading comprehension with questions spec reading. Questions provided in "Para comentar y analizar: Temas de discussion oral o es designed to prepare students to elicit thoughts, opinions, personal observations about t and to engage them in more profound discussions. Unfortunately, question-and virtually the only type of exercise found between the pre- and post-reading sections. types of activities, such as pair/group work, debates, and performance in dialogues created for future editions. These would serve to sustain students' interest as well as their oral and written expression, rather than to simply answer the questions. Followi de leer is M?s all? del texto, which requires students to reflect on their own life expe to give their opinions on issues concerning the reading. Finally, in my view, t distinguishing feature of this text is the Texto en contexto: Una perspectiva entre muchas In this section, a personal interview with each writer focuses on clarifying specific asp reading from the writer's personal point of view and life experiences. A list of post questions immediately follows to check students' reading comprehension.
Although the book has a few drawbacks, overall Nuevos contextos offers a wide r readings with a variety of topics, enabling students to discuss and explore Latin
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contemporary short stories. This first edition is a welcome offering, which can be used as a reader for Intermediate and Advanced college courses as well as for personal pleasure reading.
Lina Lee University of New Hampshire
Mujica, B?rbara. El pr?ximo paso. 2nd ed. United States: Heinle and Heinle, 2002. Pp. 600. ISBN 0-03-033928-6.
El pr?ximo paso: gram?tica, lecturas, composici?n is a Spanish textbook aimed at third-year students. It simultaneously reviews the more basic features of Spanish as it introduces more complex grammatical points. The readily-apparent goal of this textbook is to increase fluency in both the written and the oral mode. In addition to its primary use in an intermediate/advanced Spanish grammar course, this text might also be used to supplement a third-year literature, writing, or culture course. A majority of the text in El pr?ximo paso is written in Spanish, with only occasional English translations for presenting abstract vocabulary that is not easily represented by sketches or images. English is also used within some grammar explanations in order to avoid confusion or to clear up potential ambiguities.
The text is organized in four parts with three chapters each, for a total of twelve chapters. The first three chapters focus on verbal morphology marking tense, aspect, and mood as well as other expressions that L2 learners of Spanish tend to acquire late. The second section is a continuation of similar grammatical themes, providing an in-depth analysis of ser and estar with accompanying practice exercises. This portion also introduces other high-frequency morphological distinctions that are difficult for LI speakers of English to acquire (more uses of the subjunctive, etc.). In the third part, instructional materials center around reflexive constructions, clitic pronouns, and their referents. The final section, aptly titled Trampas gramaticales, concludes the textbook by guiding students through the challenging terrain of prepositions and connectors (with special focus onpor and para), verb complements, articles, adjectives, and adverbs.
Throughout the book, chapters are organized around a major theme, and explanations include contextual examples. Subtopics within each chapter are practical and directly relevant to student life, and they include food, sports, shopping, university life, and life in the city. Chapters begin with an extensive list of lexical items related to the chapter theme. More concrete target language words are presented alongside simple sketches of their physical appearance, while English translations are provided in most cases only for the more abstract terms. However, there are a number of instances in which the use of English translations rather than visuals does seem unwarranted. Chapters conclude with a composing task (writing a letter, making a list of instruc tions, etc.) that corresponds with the theme(s) and readings. Composition drafting is well guided with both pre- and post-writing activities that help students outline their thoughts ahead of time and later review their final product.
Through the Para enriquecer su vocabulario section, students learn how to form additional words by adding inflectional and derivational morphology to the roots that have already been presented in the chapter. These sections also present false (and true) cognates, compound words, and other morphological intricacies of Spanish. As are all explanations in El pr?ximo paso, these insights into word formation are delivered entirely in Spanish and promote direct L2 form meaning connections. With regard to vocabulary in general, El pr?ximo paso makes few assumptions about what students might have learned in previous coursework. This means that students can easily fill in gaps in their learning by gaining further exposure to Spanish words they have already seen at a lower level. To cite one example, even in the final chapter of this fifth semester textbook, students are reminded of the expressions hacer fr?o and hacer sol. Some may even feel that El pr?ximo paso could serve as a third- and fourth-semester text for this very reason. There is indeed extensive review amidst the fifth-semester material.
El pr?ximo paso exposes students to a variety of literary genres via its abundance of readings?two per chapter for a total of twenty-four. While the first reading in each chapter tends
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The following steps can serve as a customized guide to help me increase my safety and prepare for the possibility of further violence. Although I do not have control over my abuser's violence, I do have a choice about how to respond to him/her and how to best get myself and my child(ren) to safety. If at any time I feel that my current plan is not working, I can change any part of it to meet my needs. I will be sure to keep this document in a safe place and out of reach of my abuser. If I need help filling out this plan, I can ask a domestic violence advocate at The Center for Family Safety and Healing or a trusted friend or family member.
STEP 1: SAFETY DURING A VIOLENT INCIDENT
It is not always possible to avoid violent incidents. In order to increase safety, I can use some or all of the following strategies:
A. I can keep a cell phone on me AT ALL TIMES that has a charged battery so I can contact 911 if necessary. (Phones that are charged, whether or not they have service, minutes, or a plan, will still contact 911).
B. I can teach my children how to call 911 to contact the police and fire department.
C. I can tell______________________________ about the violence and request they call the police if they hear suspicious noises coming from my house.
D. I will use ______________________as my code word with my child(ren)/family/friends so that if they hear this word they can call for help if I am unable to do so.
E. I will check with ____________________________________ and _______________________________________ to see who would be able to let me stay with them or lend me some money.
F. When I expect we are going to have an argument, I will try to move to a space that is lowest risk, such as, ________________________________. (Avoid bathrooms, kitchens, or rooms/areas with weapons).
G. I will use my judgment and intuition. If the situation is very serious, I can give my abuser what he/she wants to calm him/her down.
H. I can keep my purse/wallet and car keys ready and put them________________________ in order to leave quickly.
I. If I decide to leave, I will ________________________________________________________________________. (Practice how to get out safely, i.e. what door, window, etc. will you use?)
J. If I have to leave my home, I will go to _____________________________ or ______________________________.
K. If I cannot go to the locations above, then I can go to__________________________________________________.
L. I can teach some/all of these strategies to my child(ren).
STEP 2: SAFETY WHEN PREPARING TO LEAVE
Abused individuals frequently leave the residence they share with the abuser. Leaving must be done with a careful plan in order to increase safety. Abusers often strike back when they believe that the person they are abusing is leaving. I know it is important for me to consider safety when preparing to leave so I can use some or all of the following strategies:
A.
I will leave money and an extra set of keys _________________________________________ so I can leave quickly.
B. I will keep copies of important documents __________________________________________________________.
C.
I can leave extra clothes, personal items, and money with/at ___________________________________________.
D. To increase my independence, I can obtain my own post office box or forward mail to someone I trust. If I am moving to a new address in Ohio I can contact my advocate or the Safe at Home program at 614-995-2255 or http://www.sos.state.oh.us/sos/agency/initiatives/SafeatHomeOhio.aspx to keep my new address confidential.
E. If my abuser monitors my phone, I must either use calling cards or borrow a friend's cell phone for a limited time when preparing to leave and just after I have left.
F. I will memorize family member's/friend's numbers so that I/someone else can contact them if my phone is taken.
G. The Franklin County domestic violence program's 24 hour hotline number is 614-224-4663. If necessary, I can seek shelter by calling this hotline.
H. I understand that if I share a cell phone account with my abuser, the following month the phone bill will tell my abuser those numbers that I called after I left.
I. I will sit down and review my safety plan every _______________________with ___________________________ in order to plan the safest way to leave the residence.
J. I will rehearse my escape plan and, as appropriate, practice it with my child(ren).
ITEMS TO TAKE WHEN LEAVING:
My Advocate's Name ____________________
Direct Number ________________________
The Center for Family Safety and Healing Adult Services Program 614-722-8293
STEP 3: SAFETY IN MY OWN HOME
There are many things that I can do to increase my safety in my own residence. It may not be possible for me to do everything at once, but safety measures can be added step-by-step. Some safety measures I can use include:
A. I can change the locks on my doors and windows as soon as possible.
B. If I live in rental property, I can talk to my landlord about what we can do to improve the safety of my home.
C. If I own my home, I can visit a hardware store and get information on improving the safety of my home.
o I can install additional locks, window bars, poles to wedge against doors, and/or inexpensive door/window alarms (If I am unable to obtain these items, I will ask my advocate for help).
D. To keep my address confidential, I will not post my name on the outside of my house/apartment.
E. I can purchase rope ladders to be used for escape from second floor windows.
F. I can install smoke detectors and purchase fire extinguishers for each floor in my home.
G. I can install outdoor cameras or a motion-detecting lighting system to alert me when others are close to my home.
H.
I will tell those who take care of my child(ren) which people have permission to pick up my child(ren) and that my abuser is not permitted to do so. The people I will inform about pick-up permission include:
School: ___________________________________ Day Care Staff: ___________________________________
Babysitter: ________________________________ Faith Leader: ____________________________________
Teacher/Principal: __________________________ Other(s): _______________________________________
I. I will inform _____________________________ and ___________________________ that my abuser no longer resides with me and that they should call the police if he/she is observed near my residence.
STEP 4: SAFETY WITH A PROTECTION ORDER
Protection orders are another way that I may be able to increase my safety but I will be mindful that one could possibly cause my abuser to escalate. Because obtaining a protection order can inform my abuser of my address, I can ask the courts to keep my address confidential or enroll in the Safe at Home program (see Step 2D). Since a protection order will not be valid until it is served to the abuser I must make sure the courts have his/her current addresses. In Ohio, the type of protection order I file will depend on a variety of factors and can include protection for my child(ren) and/or pet(s).
Temporary Protection Order (DVTPO) and Criminal Protection Order (CRPO): If your abuser has been arrested on a charge of domestic violence, assault, a sexually oriented offense, or any other offense of violence, you may ask the Judge in the criminal case for a DVTPO or CRPO. This is usually done at the arraignment or your abuser's first court appearance. You should advise the Prosecutor or the victim advocate at the courthouse if you want to apply for this type of protection order. Both orders require the abuser to stay away from the victim and her/his residence for the duration of the criminal case. DVTPOs and CRPOs are enforceable by law enforcement once they are issued by the court and served to the offender. Parties involved do not have to be family or household members. Once the criminal case is over, whether the abuser makes a plea or is found guilty or not guilty at trial, the DVTPO or CRPO is no longer valid. To ensure that you are protected, you should consider also filing for the appropriate civil order of the three listed below.
Civil Protection Order (CPO): If you have been assaulted or threatened by an intimate partner or other family or household member and have an ongoing fear that that person will commit domestic violence against you, you may be eligible for a CPO, which is a civil order to protect victims of domestic violence. Your abuser does not have to have been arrested to obtain a CPO. CPOs prohibit the abuser from being nearby, contacting or harassing the victim and are enforceable by law enforcement once they are served to the offender. These orders can also address visitation and custody of the child(ren) and/or pet(s), child support, possession of the residence, etc. They can last up to 5 years and can be extended. While an attorney can be helpful, having one is not necessary to file for a CPO. If you wish to be represented in Franklin County but cannot afford an attorney you can apply for representation through the Capital University Family Advocacy Clinic between 10:30 a.m. and 2:30 p.m. on the 17 th floor of the Franklin County Courthouse at 375 S. High St. If you wish to proceed without an attorney, you can obtain the paperwork necessary to file on the 6 th floor of the Franklin County Courthouse at 373 S. High St. from 8-11 a.m. and 1-3 p.m., Mon.-Fri. It is a good idea to talk to an advocate about the CPO process prior to filing.
Civil Stalking or Sexually Oriented Offense Protection Order (SSOOPO): If you are being stalked or have been a victim of a sexually oriented offense, you may be eligible for a SSOOPO, which is a civil order. SSOOPOs prohibit the perpetrator from being nearby, contacting or harassing the victim and are enforceable by law enforcement once they are served to the offender. The two parties do not have to have any affiliation or relationship. An attorney can be helpful but having one is not necessary to file for a SSOOPO. If you wish to proceed without an attorney in Franklin County, you can obtain the paperwork necessary to file at the Franklin County Court of Common Pleas, 345 S. High Street, 2 nd Floor, Suite 2402 between 8 a.m. and 3 p.m., Mon.-Fri. It is a good idea to talk to an advocate about the SSOOPO process prior to filing.
Juvenile Protection Order (JPO): If you have been the victim of teen dating violence, domestic violence, stalking, sexual assault, or other violent crimes and the offender is under the age of 18, you may be eligible for a JPO, which is a civil order. JPOs prohibit the perpetrator from being nearby, contacting or harassing the victim and are enforceable by law enforcement once they are served to the offender. The two parties do not have to have any affiliation or relationship. While an attorney can be helpful, having one is not necessary to file for a JPO. If you wish to proceed without an attorney in Franklin County, you can obtain the paperwork necessary to file on the 6 th floor of the Franklin County Courthouse at 373 S. High St. from 811 a.m. and 1-3 p.m., Mon.-Fri. It is a good idea to talk to an advocate about the JPO process prior to filing.
My Advocate's Name ____________________ Direct Number ________________________
The Center for Family Safety and Healing Adult Services Program 614-722-8293
STEP 4 (CONT.): SAFETY WITH A PROTECTION ORDER
Many abusers obey protection orders, but one can never be sure who will obey and who will violate protection orders. I recognize that I may need to ask the police and the courts to enforce my protection order. The following are some steps that I can take to help the enforcement of my protection order:
A. I will keep a copy of my protection order with me at all times. I will also keep a copy of my protection order _______________________and________________________ (locations).
B. Although I do not have to for it to be effective, I can take my protection order to police departments in the community where I work, in those communities where I usually visit family or friends, and the community where I live in order for them to be aware of my situation.
C. A Civil Protection Order is enforceable throughout Ohio. However, if I visit other counties in Ohio often, or move to another county, I should file my protection order with the court in those counties. I will register my protection order in the following counties: ______________________and _______________________.
D. I can call the local Prosecutor's Office or Clerk of Courts if I am not sure about B or C above or if I have any problems with my protection order.
E. I will inform ________________________and __________________________ (employer, friend, daycare provider, school, landlord, faith leader, etc.) that I have a protection order in effect and provide copies, as appropriate.
F. If my abuser destroys my protection order, I can get another copy from the Clerk of the Common Pleas Court's office in my county.
G. If my abuser violates the protection order by contacting me by phone, text message, email, voicemail, or social media post I can call the police to report the violation, contact my attorney, call my advocate, and/or advise the court of the violation. If I have a smart phone I can use the "screen shot" feature to document the violation. I can print these "screen shots" and keep them in a safe place or forward them to my email for safe keeping. If I do not know how to do this I will ask my advocate or my wireless phone provider.
H. If the police do not help, I can contact my advocate or attorney to file a complaint with the police department.
I. I can also file a private criminal complaint with Prosecutor's Office in the jurisdiction where the violation occurred or call my domestic violence advocate to help me with this.
STEP 5: SAFETY ON THE JOB AND IN PUBLIC
Each abused individual must decide if/when to tell others that abuse is occurring and if there is a possibility of continued risk. Friends, family and co-workers can help to provide protection. I should consider carefully which people to invite to help me secure my safety. I might do any or all of the following:
A. I can keep a cell phone on me AT ALL TIMES that has a charged battery so I can contact 911 if necessary. (Phones that are charged, whether or not they have service, minutes, or a plan, will still contact 911).
B. I can inform my supervisor, my Human Resources department, the security supervisor, and _______________________________ at work of my situation.
C. I can provide my security department, supervisor, and coworkers with a recent photo of my abuser and request that they intervene properly if he/she is seen at work.
D. I can talk to my supervisor about changing my schedule/shift and, if possible, about not closing alone.
E. I can ask ____________________________to help me screen my phone calls at work.
F. I will observe exit routes in my work area and plan ahead in case I have to leave quickly.
G.
When leaving work, I can ________________________________________________________________________.
H. If problems occur when I'm driving home, I can_______________________________________________________.
I. If I use public transportation, I can _________________________________________________________________.
J. I will go to a different grocery store, shopping mall, and bank to conduct my business.
K. I will conduct my business at hours that are different from those I used when residing with my abuser.
L. If I am in school, I can use some or all of the strategies mentioned above to increase my safety.
M. I can be aware of my surroundings and all exits in new public places.
STEP 6: SAFETY AND DRUG OR ALCOHOL USE
The legal outcomes of using illegal drugs can be very hard on a victim of domestic violence, may hurt the relationship with his/her child(ren), and put him/her at a disadvantage in other legal actions with the abuser. Therefore, I should carefully consider the potential cost of using illegal drugs. If drug or alcohol use has occurred, I can enhance my safety by some or all of the following:
A. The use of alcohol or other drugs can reduce my awareness and ability to act quickly to protect myself from my abuser. I understand that choosing not to use alcohol or other drugs would be safest. If I am going to use, I can do so in a safe place with people who understand the risk of violence and are committed to my safety.
B. If my abuser is using, I can _______________________________________________________________________.
C. To safeguard my child(ren), I might ________________________________________________________________.
My Advocate's Name ____________________ Direct Number ________________________
The Center for Family Safety and Healing Adult Services Program 614-722-8293
24/7 CHOICES Hotline (Franklin County only) 614-224-HOME (4663) 24/7 National Domestic Violence Hotline 1-800-799-SAFE (7233)
STEP 7: SAFETY AND MY EMOTIONAL HEALTH
The experience of being abused and verbally degraded is usually exhausting and emotional draining. The process of building a new life for myself takes much courage and incredible energy. I must remember that I am not at fault for the abuse I have experienced. To conserve my emotional energy and to avoid hard emotional times, I can do some/all of the following:
A. If I feel down and ready to return to a potentially abusive situation, I can __________________________________ _____________________________________________________________________________________________.
B. To prevent further emotional stress, I can limit conversations with my abuser.
C. If I have to communicate with my abuser in person or by telephone, I can_________________________________
_______________________________________________ (Tell someone where I'll be, limit the conversation, etc.).
D. I can try to use "I can…." statements with myself and be assertive with others.
E. I can tell myself "_______________________________________________________________________________" whenever I feel others are trying to control or abuse me.
F. I can read______________________________________ to help me feel stronger.
G. I can call ______________________ and ____________________ to be of support to me.
H. Other things I can do to help me feel stronger are ________________________ and ________________________.
I. I can ask my domestic violence advocate for a counseling referral.
J. I can call my advocate or the local domestic violence hotline 24 hours a day/7 days a week for additional support.
K. I can attend workshops and support groups at the domestic violence program or ___________________________ to gain support and strengthen my relationships with other people.
L. Some things I could do for myself today include ________________________________________ and
________________________________________________.
M. If I am especially down I can call __________________________and ___________________________ for support.
N. If I feel I am at risk for harming myself, I can ________________________________________________ and use the Suicide/Self-harm Plan created by myself and my advocate or clinician to guarantee my safety.
O. I could also contact the Suicide Prevention Services hotline in Franklin County at 614-221-5445 or the National Suicide Prevention Lifeline at 1-800-273-8255 24 hours/day if I need support.
P. Lastly, if I feel there is potential I could harm myself or someone else, I can call 911 or Netcare Access at 614-276-CARE (2273) or get immediate help at a local hospital emergency department.
STEP 8: TECHNOLOGY SAFETY
Technology can be helpful in linking me to outside supports and resources. However, it is important to remember that technology can also be used to harm me and allow my abuser further access to power and control. I can use some or all of the following strategies:
A. Having phone access is important in reaching outside resources. I can consider obtaining another donated phone from a shelter or domestic violence program or buy a pay-as-you-go phone. (All cell phones that are charged, whether or not they have service, minutes, or a plan, will still contact 911. I can keep an extra phone in my car, purse, bedroom, etc.).
B. I can set a privacy pin or password on my cell phone so that my abuser does not have access to it.
C. I can use Caller ID, voicemail, or an answering machine to screen my calls.
D. Technology can be used to convey threats or intimidate the recipient. If I receive such messages I can _______________________________________________________________________________________.
E. If I have a smart phone I can use the "screen shot" feature to save threatening emails/texts/messages and forward them to my email. If I do not know how to do this I will ask my advocate or my wireless phone provider.
F. I can use a tape recorder/phone recording equipment or apps to record communication with my abuser, especially if I have a protection order in place.
G. If I am being harassed by my abuser, I can consider getting a new, unlisted phone number.
H. GPS settings on my phone or car can allow my abuser to track my movements. I will remember to _________________________________________________________________________ (consider new accounts). Note: social media accounts will post my whereabouts if my phone location services are on.
I. I realize my computer activity can be traced. If I believe my computer activity is being monitored, I can _____________________________________________________________________________________________.
J. Email accounts have the ability to reveal a lot of information about my online behaviors and intentions. I will ____________________________________________________________ to minimize access to my email account.
K. If I have shared my passwords/pins with my abuser I will ______________________________________________.
L. For more information on how to keep myself safe with technology or to help me decide which safety apps are best for me I can go to http://techsafety.org/resources-survivors
My Advocate's Name ____________________ Direct Number ________________________
The Center for Family Safety and Healing Adult Services Program 614-722-8293
STEP 9: FINANCIAL SAFETY
One common barrier to leaving an abuser is a lack of finances. Gaining financial independence is important but can take some time. While in the relationship or home with the abuser, it is best to make small changes at firstchanges that will go undetected or can be easily hidden. I can use some or all of the following strategies:
A. As I can, I will put small amounts of money away in a safe place or my own bank account.
B. If I get paid in cash or receive tips, I can save a portion of the money.
C. I can try to earn extra income from babysitting, recycling, selling clothes or belongings, etc.
D. I can open my own bank account or purchase prepaid debit cards so that my abuser cannot track my purchases.
E. I can consider obtaining a safety deposit box for money and other valuables.
F. I will ensure that my financial documents (bank statements, credit card bills, etc.) are in a safe place where I can grab them in a hurry.
When leaving, I can use some or all of the following strategies:
A. If I share a joint account with my abuser, I can withdraw money from that account to keep myself (and my child(ren)) safe. But I know it is always important to do what is safest for me!
B. If possible, I will open my own bank account at a different bank/location.
C. I will change direct deposit information as soon as possible. (This process may take a few billing cycles so I may need to request paper checks sent to my new address until changes can be made).
D. If my abuser is not listed as a joint account holder but has access to my accounts, I will request new bank/ATM cards and change all passwords and PIN numbers.
E. I can also request that companies/organizations put "fraud alerts" or "red flags" on my accounts (including ODJFS benefits, banks, cell phone providers, utility companies, etc.) so my abuser can no longer utilize them.
STEP 10: SAFETY AND STALKING
Stalking is known to happen most frequently with abused individuals during the leaving process. However, it can also occur while still in a relationship or home with an abuser. No matter what, stalking can be extremely dangerous and can intensify over time so it is important for me to keep myself and my family safe during this time. I can use some or all of the following strategies:
A. I can be aware of my surroundings and keep a journal or log of all stalking activity in a safe place or with a trusted person (record dates, times, and events).
B. I can save any harassing or threatening messages, texts, emails, or letters from my abuser, will consider them serious, whether indirect or direct, and report them to law enforcement immediately. I can forward these to my email or a trusted friend or family's phone or email for safe keeping.
C. I can vary my routines by taking different routes to _______________________ and ________________________.
D. In public, I will try not to travel alone and will stay in areas where I can reach someone for help, especially at night.
E. If I feel I am in imminent danger I can go to ____________________________or ___________________________.
F. I can inform those close to me about the stalking and__________________________________________________.
G. I will consider obtaining a Civil Protection Order (CPO) or a Civil Stalking or Sexually Oriented Offense Protection Order (SSOOPO) (see Step 4 for protection order options).
H. I can also ____________________________________________ to ensure my safety and the safety of my child(ren).
My Advocate's Name ____________________ Direct Number ________________________
The Center for Family Safety and Healing Adult Services Program 614-722-8293
STEP 11: SAFETY AND MY CHILD(REN)
Survivors of domestic violence experience a certain amount of fear and stress when being abused but the abuse can also put extensive strain on the child(ren) who have witnessed the abuse or have been victims themselves. When planning for my own safety, it is important to consider the safety of my child(ren) as well, even if I think my abuser would never harm my child(ren). To ensure the safety of my child(ren) I can do any or all of the following:
A. Teach my child(ren) how and when to dial 911 (be sure they know their address or location and encourage them to STAY on the phone with the dispatcher).
B. Use _____________________________ as a secret code word with my child(ren) to use for emergencies.
C. Help my child(ren) remember my full name, phone number, and home address.
D. Make a list of safe people and their phone numbers in case my child(ren) need to reach out for help. I will be sure to put this in a safe place (backpack, coat pocket, etc.) for my child(ren).
E. As age appropriate, plan with my child(ren) how to leave the home and identify safe places to go (it may help to practice fire, tornado, and safety drills simultaneously).
F. Help my child(ren) identify a room they can go to when they're scared (have them bring a favorite toy/stuffed animal/blanket and hide an emergency cell phone in the room if possible). I will remember to stay out of bathrooms, kitchens, and rooms with weapons.
G. Help my child(ren) understand that although they may want to protect me, it is not safe to intervene.
H. Teach my child(ren) to be SAFE (Stay out of the fight, Avoid getting trapped, Find a phone (to call for help), and Escape to a safe place).
I. If I am staying at a shelter or a new location, I will explain how important it is to keep that location a secret.
J. If I have to exchange my child(ren) with my abuser, I will make sure to do so in a busy place and during daylight hours if possible. I can take someone with me and plan ahead by contacting the meeting location to find out if it has working surveillance cameras (some ideas are banks, fast food restaurants, and some police stations).
STEP 12: SAFETY AND PETS
Pets can be harmed when left with an abuser. If possible, I can take my pet(s) with me when I leave. If friends or family are unable to care for my pet(s), animal shelters may be able to help. Some domestic violence shelters even allow pets. I can consider asking for my pet(s) to be added to my protection order, as some states like Ohio allow this.
When planning to leave with a pet I can consider any or all of the following:
A. Talk to friends, family members, veterinarians, or my local animal or domestic violence shelter to see who can help care for my pet(s). (In Franklin County, Capital Area Humane Society's Safe Haven Program shelters pets of domestic violence victims. Their phone number is 614-315-0102).
B. Take steps to prove ownership of my pet(s) and have them vaccinated and licensed in my name.
C. Pack a bag for my pet(s) including:
- Food
- Medicine
- Documents of ownership (receipts from adoption/purchase of pet(s), licenses, etc.)
- ID and rabies tags
- Health documents (veterinary or vaccination records)
- Leash, carrier/cage, toys, and bedding
D. If I MUST leave my pet(s) behind, I will be sure to leave enough food, water, bedding, etc.
- I can consider asking law enforcement or animal control if they can intervene. For information or to file a report in Franklin County I can call Animal Care & Control at 614-525-3400.
If I am able to take my pet(s) with me to my new temporary/permanent location:
A. I will keep pet(s) indoors and avoid leaving them outside alone if possible.
B. Choose a safe route and time to walk my pet(s).
C. Try not to exercise or walk my pet(s) alone, especially at night.
D. Change my veterinarian to one my abuser is not familiar with.
My Advocate's Name ____________________ Direct Number ________________________
The Center for Family Safety and Healing Adult Services Program 614-722-8293
IMPORTANT PHONE NUMBERS IN FRANKLIN COUNTY:
OTHER HELPFUL NUMBERS IN FRANKLIN COUNTY:
ADDITIONAL NUMBERS:
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Carl Gertz, Project Manager
Department of Energy
Yucca Mountain Project Office
P.O. Box 98518
Las Vegas, Nevada 89193-8518
SUBJECT: Yucca Mountain Project Status Report - February 1993
SCP: N/A
Attached is the February Project Status Report for LLNL's participation in the Yucca Mountain Project.
If further information is required, please contact Elizabeth Campbell of my staff at 510-422-7854 or Jim Blink in Las Vegas at 702-794-7157.
Sincerely,
W. L. Clarke
LLNL Technical Project Officer
for YMP
DISCLAIMER
The LLNL Yucca Mountain Project cautions that any information is preliminary and subject to change as further analyses are performed or as an enlarged and perhaps more representative data base is accumulated. These data and interpretations should be used accordingly.
## 1.2.1 Systems
- **WBS 184.108.40.206** Systems Engineering Coordination and Planning
- **WBS 220.127.116.11** Special Studies
- **WBS 18.104.22.168** Configuration Management (Blink)
## 1.2.2 Waste Package
- **WBS 22.214.171.124** Waste Package Coordination and Planning (Wilder)
- **WBS 126.96.36.199** Waste Package Environment (Wilder)
- **WBS 188.8.131.52.1** Chemical & Mineralogical Properties of the Waste Package Environment (Glassley)
- **WBS 184.108.40.206.2** Hydrologic Properties of Waste Package Environment (Buscheck)
- **WBS 220.127.116.11.3** Mechanical Attributes of the Waste Package Environment (Blair)
- **WBS 18.104.22.168.4** Engineered Barrier System (EBS) Field Tests (Lin)
- **WBS 22.214.171.124.5** Characterization of the Effects of Man-Made Materials on Chemical & Mineralogical Changes in the Post-Emplacement Environment (Meike)
- **WBS 126.96.36.199** Waste Form & Materials Testing (Stout/McCright)
- **WBS 188.8.131.52.1.1** Waste Form Testing - Spent Fuel (Steward)
- **WBS 184.108.40.206.1.2** Waste Form Testing - Glass (Bourcier)
- **WBS 220.127.116.11.2** Metal Barriers (McCright)
- **WBS 18.104.22.168.3** Other Materials (McCright)
- **WBS 22.214.171.124.4** Integrated Testing (Viani)
- **WBS 126.96.36.199.4.1** Integrated Radionuclide Release: Tests and Models (Viani)
- **WBS 188.8.131.52.4.2** Thermodynamic Data Determination (Silva)
- **WBS 184.108.40.206.5** Nonmetallic Barrier Concepts (McCright)
- **WBS 220.127.116.11** Design, Fabrication, and Prototype Testing
- **WBS 18.104.22.168.3** Container/Waste Package Interface Analysis
- **WBS 22.214.171.124** Waste Package - Special Studies
## 1.2.3 Site Investigations
- **WBS 126.96.36.199** Geology
- **WBS 188.8.131.52.1.2.1** Natural Analogue of Hydrothermal Systems in Tuff (Glassley)
- **WBS 184.108.40.206** Geochemistry (Glassley)
- **WBS 220.127.116.11.2** Geochemical Modeling (Wolery)
- **WBS 18.104.22.168** Altered Zone Characterization
## 1.2.5 Regulatory
- **WBS 22.214.171.124.2** Site Characterization Program (Blink)
- **WBS 126.96.36.199.4** Geologic and Engineering Materials Bibliography of Chemical Species (GEMBOCHS) (Johnson)
- **WBS 188.8.131.52.5** Technical Data Base Input (Revelli)
- **WBS 184.108.40.206** Performance Assessment (Halsey)
- **WBS 220.127.116.11.2** Waste Package Performance Assessment (O'Connell/MacIntyre)
1.2.9 Project Management
WBS 18.104.22.168 Management and Coordination (Clarke)
WBS 22.214.171.124.2 Technical Project Office Management (Clarke)
WBS 126.96.36.199 Project Control (Podobnik)
WBS 188.8.131.52.2 Technical Project Office Management (Podobnik)
1.2.11 Quality Assurance
WBS 184.108.40.206 Quality Assurance Coordination and Planning
WBS 220.127.116.11 Quality Assurance Program Development
WBS 18.104.22.168 Quality Assurance Verification
WBS 22.214.171.124.1 Quality Assurance Verification - Audits
WBS 126.96.36.199.2 Quality Assurance Verification - Surveillance
WBS 188.8.131.52 Quality Assurance - Quality Engineering
1.2.12 Information Management
WBS 184.108.40.206.2 Local Records Center Operation (LRC) (Bryan)
WBS 220.127.116.11.5 Document Control (Bryan)
1.2.13 Environment, Safety and Health
WBS 18.104.22.168 Environment, Safety and Health Coordination and Planning (Blink)
1.2.15 Support Services
WBS 22.214.171.124 Administrative Support (Campbell)
WBS 126.96.36.199 YMSCP Support for the Training Mission (Bryan)
1) 188.8.131.52 (Special Studies). V-TOUGH input files were transmitted to C. Newbury at YMPO on February 22. These files will be forwarded to other participants who will run code-to-code benchmark calculations as a means of partially validating LLNL's extended dry calculations.
2) 184.108.40.206.1 (Chemical and Mineralogical Properties of the Waste Package Environment). B. Christenson, W. Giggenbach and A. Reyes from New Zealand visited LLNL on February 5 to discuss potential sites for conducting EQ3/6 validation activities. Several sites were identified as likely locations, based on data availability, observable or inferred processes at the sites, and accessibility. Plans were developed to have LLNL researchers visit these sites in late March to go through the available data to determine if the data are complete enough to actually start the simulations. The group also visited the Project Office and the Yucca Mountain site on February 8.
3) 220.127.116.11.2 (Hydrologic Properties of the Waste Package Environment). The experiment continued to determine the effect of fracture surface coatings on the imbibition of water into the matrix. Eight Topopah Spring Tuff samples machined from outcrops from Busted Butte were prepared for this purpose. Preliminary results indicate that fracture surface coatings decrease the water imbibition rate into the matrix by a factor of $0.15$ to $3 \times 10^{-5}$, depending on the coating thickness. These findings agree with results obtained by S. Thoma, D. Smith (University of New Mexico) and D. Gallegos (SNL) (1992) on Tiva Canyon and Paintbrush Tuff samples. The mineralogy of the coating material and the pore size distribution in the coating layers will be determined.
4) 18.104.22.168.3 (Mechanical Attributes of the Waste Package Environment). Study Plan 22.214.171.124.4.3, Rev. 0, "Characterization of the Geomechanical Attributes of the Waste Package Environment" was approved and distributed as a controlled document.
5) 126.96.36.199.5 (Characterization of the Effects of Man-Made Materials on Chemical & Mineralogical Changes in the Post-Emplacement Environment). The search of the GEMBOCHS thermodynamic database that supports the EQ3/6 codes for aqueous species, glass, and solids that contain carbon has been completed. The search for organic compounds was expanded in recognition of the important role that carbon bearing compounds play in the following three mechanisms, all of which may operate within the ESF and the potential repository site:
1) aerobic microbial degradation of hydrocarbon compounds may increase carbonate species and thus significantly alter pH,
2) abiotic thermal degradation of organic compounds may generate large amounts of carbon dioxide that may also significantly alter pH, and
3) carbonate complexation.
These mechanisms are particularly important to the determination of spent nuclear fuel solubility.
6) 188.8.131.52.2 (Hydrologic Properties of the Waste Package Environment). Because large-scale, buoyant, gas-phase convection cells do not fully develop in the UZ until about 1000 yrs, for sub- to marginal-boiling conditions, above-boiling heater tests will be needed to resolve repository horizon condensate flow issues for low areal mass loading.
1.2.1 SYSTEMS ENGINEERING
184.108.40.206 Systems Engineering Coordination and Planning
No significant activities.
220.127.116.11 Special Studies
V-TOUGH input files were transmitted to C. Newbury at YMPO on February 22. These files will be forwarded to other participants who will run code-to-code benchmark calculations as a means of partially validating LLNL's extended dry calculations.
18.104.22.168 Configuration Management
No significant activities.
1.2.2 WASTE PACKAGE
22.214.171.124 Waste Package Coordination and Planning
B. Viani participated in the February Geochemistry Integration Task (GIT) teleconference meeting.
W. Lin attended the (SOC) Sample Overview Committee meeting at NTS on February 9.
126.96.36.199 Waste Package Environment
The final response to technical review comments on the Preliminary Near Field Environment Report was submitted to YMPO on February 22. After acceptance of these comments, the report will be resubmitted for AP 1.3 programmatic review.
188.8.131.52.1 Chemical and Mineralogical Properties of the Waste Package Environment
B. Christenson, W. Giggengbach and A. Reyes from New Zealand visited LLNL on February 5 to discuss potential sites for conducting EQ3/6 validation activities. Several sites were identified as likely locations, based on data availability, observable or inferred processes at the sites, and accessibility. Plans were developed to have LLNL researchers visit these sites in late March to go through the available data to determine if the data are complete enough to actually start the simulations. The group visited the Project Office and the Yucca Mountain site on February 8.
B. Christensen also spent several days working with LLNL scientists in the use of EQ3/6. Several specific problems regarding the New Zealand hydrothermal system were run on the code.
Newly installed software on the Silicon Graphics Indigo/XS-24 system enhances capabilities to model equilibrium/disequilibrium domains in the vicinity of waste packages. This software was used to develop a saturation grid for ambient conditions which will be used, along with ambient mineralogical data, to develop models of mineral evolution in the vicinity of waste packages.
W. Glassley participated in the workshop to coordinate activities between various project participants regarding coupling of geochemical and hydrological processes. This workshop was held February 1-3 at Asilomar, CA. An outline of the conceptual model for geochemical evolution of the altered zone was developed. Discussions also outlined potential problems to be addressed.
184.108.40.206.2 Hydrologic Properties of the Waste Package Environment
Study Plan 220.127.116.11.4.2 "Laboratory Study of Hydrological Properties of the Near Field Environment" has completed the first phase of internal technical review and has been returned to the author for comment resolution. The initial issue of the Study Plan will cover the laboratory experiment portion of the study; modeling will be added during a subsequent revision.
Model Calculations
The Use of Hypothesis Testing in Model Validation
The subject of hydrological model validation has generated considerable debate. LLNL/YMP agrees with scientists who believe that the terms "model validation" and "verification" are misleading in groundwater science and should be replaced with the process:
1) using models to obtain a better fundamental understanding of the system being modeled,
2) utilizing this understanding to formulate fundamental hypotheses which are the basis of the conceptual model and performance attributes of the system and,
3) perform analyses and experiments in an attempt to test or invalidate the conceptual models (or hypotheses).
Past monthly reports have described calculations of repository-heat-driven hydrothermal flow in the repository-unsaturated zone (UZ)-saturated zone (SZ) system to a broad range of thermal loading design parameters, thermo-hydrological properties, and boundary conditions. A broad range of parameters have been, and continue to be, investigated in order to identify:
1) distinct regimes of thermo-hydrological performance, and
2) conditions that invalidate the following hypotheses:
a) repository-driven heat flow will be dominated by heat conduction,
b) the region of above-boiling temperatures surrounding the repository corresponds to the absence of liquid water in the waste package (WP) environment,
c) fracture density and connectivity are sufficient to promote rock dry-out due to boiling and condensate shedding, and
d) re-wetting of the dry-out zone lags significantly behind the end of the boiling period.
In addressing these hypotheses, it will be asked whether hydrothermal-geochemical-geomechanical coupling must be dynamically accounted for in performance models or whether it can be conservatively accounted for by bounding analyses. A primary goal of site characterization, laboratory tests, and in situ heater tests will be to look for conditions or processes that have been identified as potentially invalidating any of the fundamental hypotheses. Knowledge of such conditions, e.g., a highly fractured fault zone, will be valuable in selecting the location of the repository or WPs.
It is LLNL/YMP's position that hypothesis testing can be more readily applied to models that predict the period of radionuclide containment in WPs before radionuclide mobilization, release, and transport, than to models that predict how radionuclides are isolated by the natural barriers during the period of radionuclide migration. For sub- or marginal-boiling conditions, the episodic infiltration of meteoric water and condensate drainage are controlled by the heterogeneous distribution of hydrological properties, while for above-boiling conditions, they are largely determined thermodynamically by the heat capacity of the rock. Therefore, it is believed that hypothesis testing is more readily applied to high Areal Mass Loadings (AMLs, expressed in metric tons of uranium per acre, MTU/acre) that produce long-term, above-boiling conditions surrounding the repository.
**Impact of Buoyant, Gas-Phase Convection on Thermo-Hydrological Performance**
LLNL/YMP's recent investigations have focused on the impact of large-scale, buoyant, gas-phase convection on thermo-hydrological performance. It is important to appreciate the fundamental distinction between moisture redistribution driven by above-boiling conditions and that driven by sub- to marginal-boiling conditions. The performance of the ambient hydrological system is critically dependent on whether vertically connected fracture pathways exist with sufficient aperture to generate fracture-dominated flow to the repository horizon (and possibly to the water table). Similarly, fracture networks of sufficient aperture and connectivity are required for repository heat to drive buoyant convection of water vapor from hotter to cooler locations, where condensation occurs. For AMLs that generate sub- or marginal-boiling conditions at the repository horizon, whether condensate can drain back to the repository horizon is determined by the highly heterogeneous distribution of fracture and matrix hydrological properties. For high AMLs, as long as a large enough zone of above-boiling conditions surrounds the repository, condensate drainage is unlikely at WP locations. However, after the boiling period, large-scale buoyant convection of water vapor has the potential to eventually generate enough condensate to result in nonequilibrium fracture flow at the repository horizon. Even for low AMLs, large-scale buoyant convection of water vapor in highly fractured zones could generate enough condensate to drive nonequilibrium fracture flow to the repository horizon for tens of thousands of years.
The potential for large-scale, buoyant convection of water vapor to generate enough condensate to drive nonequilibrium fracture flow to the repository horizon is influenced by the following factors:
1) whether condensate drainage is primarily controlled by hydrological heterogeneity or thermodynamically,
2) the temperature gradients driving large-scale, buoyant, gas-phase convection,
3) the availability of liquid water,
4) the connectivity and permeability of fracture networks between locations where water is evaporating and where it is condensing, and
5) the connectivity and permeability of preferential fracture pathways between locations where water vapor is condensing and the repository horizon.
If a large enough zone of above-boiling conditions surrounds the repository, condensate drainage is extremely unlikely at the repository horizon. Future calculations will focus on how factors (2) through (5) impact post-boiling performance. It is useful, therefore, to compare conditions just as the boiling period ends. With respect to factor (2), the temperature gradients associated with intermediate AMLs are found to be steeper than those associated with high AMLs. Therefore, the driving force for the post-boiling period, buoyant convection of water vapor, increases with decreasing AML.
Both during and after the boiling period, factors (3) and (4) depend on the vertical thickness of the dry-out zone, $h_{dz}$. Large-scale, buoyant, gas-phase convection depends on the large-scale connectivity of fracture networks which generally decreases with increasing distance between two points (e.g., from the lower to the upper dry-out front), with the tortuosity of the connected fracture pathways increasing. Note that even while the dry-out zone is subjected to above-boiling conditions, large-scale buoyant convection eventually dominates the local boiling pressure gradients ($t > 1000$ yr), resulting in the buoyant convection of water vapor from the lower to the upper dry-out front. The water vapor that is evaporated from the lower dry-out zone is at least partially replenished by water imbibed from the SZ. The actual distribution of fracture permeability and connectivity is probably extremely heterogeneous. The assumption that $k_b$ is homogeneous and isotropic overpredicts the transport of water vapor. Therefore, LLNL/YMP's models of high AMLs conservatively predict the time it takes the upper dry-out front to retreat back to the repository horizon.
For post-boiling period performance, a critical consideration is the value of $h_{dz}$ at the end of the boiling period. Similarly, factor (5) is dependent on the distance from the upper dry-out front to the repository horizon, which is roughly half of $h_{dz}$. At the end of the boiling period for the reference $k_b$ case ($2.8 \times 10^{-13} m^2$ or 280 millidarcy), $h_{dz}$ is 14.4, 110, and 248 m for AMLs of 49.2, 77.4, and 154.7 MTU/acre, respectively. Therefore, the potential for post-boiling period drainage of condensate to the repository horizon is greater for low AMLs associated with small dry-out zones.
Impact of UZ Flow on Thermo-Hydrological Performance
In examining the sensitivity of heater test performance to $k_b$, it was found that there are three distinct categories of thermo-hydrological performance. The low-$k_b$ case corresponds to a situation in which fracture density and connectivity throttle the rate of boiling and dry-out. The intermediate-$k_b$ case corresponds to a situation in which the fracture density and connectivity are sufficient to promote boiling that is no longer throttled by flow resistance in the fractures. However, the intermediate-$k_b$ is not sufficiently large to promote substantial large-scale buoyancy-driven convection; therefore, local boiling pressure gradients dominate the large-scale, buoyancy-driven, gas-phase pressure gradients, resulting in steam flow and condensate generation that is vertically symmetrical about the heater horizon. Consequently, heat flow continues to be symmetrical about the heater horizon. The heat convective effects in the heat-pipe zone have a local, transient effect on the temperature distribution, but because convection does not significantly enhance the heat loss from the boiling zone to the far-field, the duration of boiling conditions is not significantly reduced. The high-$k_b$ case ($k_b > 10$ darcy or $10^{-11} \text{m}^2$) corresponds to a situation in which fracture density and connectivity are sufficiently large to allow large-scale, buoyancy-driven gas-phase gradients to dominate the local boiling pressure gradients, causing significant asymmetry in the vertical temperature distribution. Although far-field convection may completely dominate the direction of steam flow, causing 100% of the steam to be driven to the upper condensation zone, heat flow can still be dominated by heat conduction, and the duration of the boiling period, $t_b$, can be negligibly reduced.
For an AML of 77.4 MTU/acre the lower end of the intermediate-$k_b$ range is about 10 millidarcy ($10^{-14} \text{m}^2$). Therefore, for $k_b > 10$ millidarcy, significant dry-out occurs due to boiling. For an AML of 154.7 MTU/acre, significant dry-out occurs even if $k_b$ is as low as 10 microdarcy ($10^{-17} \text{m}^2$). Even though AML was only increased by a factor of two, the range of $k_b$ for significant dry-out due to boiling is increased by three orders of magnitude. For an AML of 154.7 MTU/acre, the maximum vertical thickness of the dry-out zone, $h_{dz}$, is 372 m for the reference-$k_b$ case (280 millidarcy or $2.8 \times 10^{-13} \text{m}^2$) at $t = 2000$ yr. The dry-out front corresponds to the location where the normalized liquid saturation equals 0.9. The normalized liquid saturation is the liquid saturation ($S_1$) divided by the initial liquid saturation. In other words, the dry-out front occurs where $S_1$ is 10% drier than ambient. For $k_b$ values of 10 microdarcy, 100 microdarcy, 1 millidarcy, 1 darcy and 5 darcy (a range from 10-17 to $5 \times 10^{-12} \text{m}^2$), the dry-out zone thickness is 132, 199, 283, 384, and 387 m. The dry-out thickness varies by only 30%, a factor of two, and a factor of three for $k_b$ ranges of nearly 4, 5, and 6 orders of magnitude. Therefore, high AMLs, such as 154.7 MTU/acre, are required in order to achieve significant dry-out at very low $k_b$ (< 10 microdarcy).
The Need for Above-Boiling Heater Tests for Low to Medium AMLs
Low to medium AMLs generate sub- to marginal-boiling conditions. Under such conditions, the large-scale buoyant convection of water vapor in highly fractured zones can cause condensate drainage at the repository horizon that is orders of magnitude greater than the recharge flux due to a pluvial climate. It was found that
large-scale buoyant convection of water vapor can also significantly influence repository temperatures. This effect only occurs if water vapor is convected in very large quantities from below the repository to cooler locations above the repository, where it condenses and drains back towards the repository. The analysis of Ross et al. indicates that it requires about 1000 yr for large-scale, buoyant, gas-phase convection cells to fully develop in the UZ. LLNL/YMP's calculations also indicate that it requires about 1000 yr for convection cells to impact sub-boiling performance. Therefore, it will not be possible to observe such effects during either:
1) heater tests conducted under sub- to marginal-boiling conditions, or
2) the period of performance confirmation.
In order to assess the potential for large-scale buoyant vapor flow to result in condensate drainage at the repository horizon under sub-boiling conditions, it will be necessary to rely on heater tests conducted under above-boiling conditions. There are very distinct differences in the vertical temperature profile between the intermediate- and high-$k_b$ heater test cases. The high $k_b$ case uses the same value of $k_b$ (84 darcy or $8.4 \times 10^{-11} m^2$) which produced very large condensate drainage fluxes for AMLs of 49.2 and 27.1 MTU/acre. Such large fluxes could result in nonequilibrium fracture flow at the repository horizon for tens of thousands of years. The potential for significant condensate flow at the repository horizon cannot be resolved without above-boiling heater tests.
**Code Development**
S. Daveler developed an input "checker" for V-TOUGH to look for input which is obviously incompatible with input format. She continues to work on the documentation for V-TOUGH.
T. Quinn released Version 5.6 of V-TOUGH which has:
1) a new option (14) for the relative permeability and capillary pressure curves and
2) an interrupt capability for the SUN and IBM workstations.
The new interrupt capability allows V-TOUGH to write an "emergency" restart file if it senses that the operating system is about to abort the run. There is also an option for the user to produce a restart file by typing in a control-C which then terminates the run after creating the restart file. Option 14 prevents the gas-phase relative permeability from being reduced to zero as a liquid saturation of 1.0 is approached. This option may be applicable to unsaturated fracture flow. Heterogeneous condensate drainage in fractures will probably make it very unlikely that 100% of the fracture porosity could be saturated with liquid, particularly above the repository. This option translates the original relative permeability curve to a curve which approaches a maximum liquid-phase saturation which is less than one. A finite gas-phase relative permeability will remain at all times. This option will allow more conservative investigation of the potential thermo-hydrological effects of large-scale, buoyant, gas-phase convection.
Laboratory Experiments
Work continued on electrical resistivity measurements as a function of moisture content of Topopah Spring Tuff samples from U3hg-1 and GU-3 holes at room temperature, using J-13 water as pore fluid. The purpose of the experimental procedure is to determine the effect of the electrical conductivity of pore fluid on the relationship between the bulk electrical conductivity of a rock sample and the degree of saturation in it. At this point in the wetting phase of the measurement, the samples have reached a saturation level of about 50%. The measured bulk resistivity using J-13 water as pore fluid is the same as when distilled water is used. Investigations are underway to understand this phenomenon. One possible explanation is that, at low levels of water saturation, the continuous layer of water on the mineral surface is dominating the conduction of electrical energy in the bulk rock and the chemical reaction between distilled water and the minerals within this layer is very efficient. This work will have significant implications for rock-water interactions.
Work continued on the investigation of different imbibition rates of water into a rock sample when the sample is either in a vapor environment or in liquid water. To understand the mechanism of the imbibition, capillary tubes of various inside diameters (ID) were placed in a constant humidity chamber which is set at various levels of humidity. The imbibition rate of water into each capillary tube will be determined. It was determined that even capillary tubes with an ID as small as 33 microns do not imbibe moisture in a 95 - 100% relative humidity environment. The effect of nucleation on the imbibition will be investigated by placing a partially filled capillary tube in a vapor environment.
The experiment continued to determine the effect of fracture surface coatings on the imbibition of water into the matrix. Eight Topopah Spring Tuff samples machined from outcrops from Busted Butte, NV were prepared for this purpose. Preliminary results indicate that fracture surface coatings decrease the water imbibition rate into the matrix by a factor of 0.15 to $3 \times 10^{-5}$, depending on the coating thickness. These findings agree with results obtained by S. Thoma, D. Smith (University of New Mexico) and D. Gallegos (SNL) (1992) on Tiva Canyon and Paintbrush Tuff samples. The mineralogy of the coating material and the pore size distribution in the coating layers will be determined.
Work has started to prepare Topopah Spring Tuff samples from the G-4 hole for determining the moisture retention curve and one-dimensional imbibition at high temperatures.
Meetings
D. Wilder, T. Buscheck, and D. Chesnut met with the LANL staff at Los Alamos on February 24 to discuss the effect of heat on repository performance.
The abstract by J. Roberts and W. Lin entitled "The Effects of Water Saturation and Water Chemistry on the Electrical Conductivity of Topopah Spring Tuff" was submitted to YMPO for review. It will be presented at the American Geophysical Union meeting in Baltimore, MD on May 24-28.
18.104.22.168.3 Mechanical Attributes of the Waste Package Environment
Study Plan 22.214.171.124.4.3, Rev. 0, "Characterization of the Geomechanical Attributes of the Waste Package Environment" was approved and distributed as a controlled document.
A revision was prepared and forwarded to YMPO to correct several typo's noted in the document.
The setup of initial computations of stress in the near field environment for the extended dry concept has been started. This is in response to the suggestion by W. Simecka (YMPO) that the near field environment team gather relevant information on the extended dry concept.
Personnel were interviewed for laboratory support of the geomechanical experiments to be conducted in concert with the Large Block tests.
126.96.36.199.4 Engineered Barrier System (EBS) Field Tests
Study Plan 188.8.131.52.4.4, "Engineered Barrier System Field Tests" has completed initial internal technical review and has been returned to the author for comment resolution.
J. Blink met with G. Danko (University of Nevada, Reno) in Reno on February 5 to discuss use of Prof. Danko's REKA instrument on the Large Block Test and on EBS field tests in the ESF.
Large Block Test (LBT)
The Scientific Investigation Plan for Large Block Testing of Coupled Thermal-Mechanical-Hydrological-Chemical Processes is in internal technical review.
The preliminary moisture content of some small pieces of Topopah Spring Tuff from the Fran Ridge outcrop has been determined to be about 30%. Work will continue to refine the moisture content determination. This information will be used in the design of the Large Block Tests.
J. Blink, Y. Chan, W. Lin, and D. Wilder met with M. Voegele (SAIC) on February 9 to discuss issues related to the large block cutting and testing. The initial design of the loading frame has been completed. A drawing of the design will be available for bidding next month.
J. Blink, Y. Chan, W. Lin, J. Roberts, and D. Wilder met with REECo and Sandia personnel at NTS on February 23 to discuss issues related to the isolation and protection of the large block. A SANL will be initiated next month for the procurement of Sandia's service of cutting the block(s).
184.108.40.206.5 Characterization of the Effects of Man-Made Materials on Chemical & Mineralogical Changes in the Post-Emplacement Environment
Revision of the draft Study Plan 220.127.116.11.4.5 "Characterization of the Effects of Man-Made Materials on the Chemical and Mineral Changes in the Post Emplacement Environment" continues.
The search of the GEMBOCHS thermodynamic database that supports the EQ3/6 codes for aqueous species, glass, and solids that contain carbon has been completed. The search for organic compounds was expanded in recognition of the important role that carbon bearing compounds play in the following three mechanisms, all of which may operate within the ESF and the potential repository site:
1) aerobic microbial degradation of hydrocarbon compounds may increase carbonate species and thus significantly alter pH,
2) abiotic thermal degradation of organic compounds may generate large amounts of carbon dioxide that may also significantly alter pH, and
3) carbonate complexation.
These mechanisms are particularly important to the determination of spent nuclear fuel solubility.
As a consequence of these results, the following actions are being taken.
1) The database is being evaluated to identify the organic compounds that are likely to be introduced into the ESF and the potential radioactive waste repository for which the thermodynamic and kinetic properties are not well established.
2) An experimental plan for the organic materials study program is being developed.
3) Lab facilities for these experiments are being assembled.
A final version of the position paper summarizing the chemical concerns for the introduction of Man-Made Materials to the ESF was provided to the M&O.
18.104.22.168 Waste Form and Materials Testing
22.214.171.124.1 Waste Form
126.96.36.199.1.1 Waste Form Testing - Spent Fuel
Scientific Investigation Plan SIP-WF-01, Rev. 1.0, "YMP Spent Fuel Waste Form Testing" was completed and sent to YMPO for acceptance.
The revised PNL FY93 workscope proposal was submitted to LLNL for review and approval.
R. Stout (LLNL), D. Harrison (YMPO), and H. Benton (M&O) met with J. Bates (ANL) at ANL on February 3 to present ANL's range of experimental and analytical capabilities, along with their interests in support of the YMP waste package effort.
Spent Fuel Dissolution
The flow-through dissolution tests on UO$_2$ at LLNL are continuing. The 2% oxygen room temperature runs were completed. The very low (0.2% oxygen) room temperature runs were continued because of difficulties in maintaining the correct flow rate and oxygen level. The higher temperature, low oxygen experiments are being set up and will be finished in several weeks. This will conclude the original test matrix for UO$_2$ dissolution tests over a range of temperature, pH, oxygen, and carbonate/bicarbonate aggressive water chemistries.
In addition, two long-term, room temperature, flow-through dissolution experiments have been ongoing since October 1992. These dissolution tests use UO$_2$ powder provided by PNL for similar experiments. The first buffer composition is 0.02M sodium bicarbonate at a pH of 8. The second composition is saline with 0.01M sodium bicarbonate and 0.1M sodium chloride; the pH is not being controlled. After several months, the uranium dissolution rate for the non-saline solution is about 1 mg/m$^2$/day. The uranium dissolution rate in the saline solution is somewhat higher at about 3 mg/m$^2$/day.
Equipment for measuring BET surface areas has been installed in the PNL Bldg. 325 hot cells, and measurements have been successfully completed on a few spent fuel specimens.
Flow-through dissolution tests at PNL have been started on ATM-106 fuel (PWR fuel with burnup ~48 MWd/kgM and fission gas release ~18%) in both oxidized (O/M ~2.4) and unoxidized forms following BET measurements of their surface areas.
Spent Fuel Oxidation
The abstract by R. Stout, E. Kansa and A. Wijesinghe entitled "Kinematics and Thermodynamics Across a Propagating Non-Stoichiometric Oxidation Phase Front in Spent Fuel Grains" was approved by YMPO for presentation at the ASME Micromechanical Random Media Conference at the University of Virginia on June 6-9.
Dry Bath Testing
R. Einziger (PNL) visited LLNL to discuss plans for the startup of a new dry bath oxidation test. This test, to be performed at 255°C, will be used to determine the U$_4$O$_9$ to U$_3$O$_8$ transition. A test plan addendum was completed and sent to LLNL for review and approval.
Plans are being finalized to bring B. Hanson, a graduate student from UC Berkeley, to PNL. He will conduct thermogravimetric apparatus (TGA) tests to elucidate the U$_4$O$_9$ to U$_3$O$_8$ transition and develop a methodology for measuring the transition at low temperatures.
The dry bath oxidation tests continue to run without problem.
The comments to the PNL report entitled "Methodology for Determining MCC Spent Fuel Acquisitions" are being resolved. The report should be resubmitted for final approval in March.
188.8.131.52.1.2 Waste Form Testing - Glass
A draft was completed of the Technical Implementing Procedure "Procedure for Flow-Through Leach Experiments" which will be reviewed and submitted for approval as a controlled document.
The abstract by W. Bourcier, S. Carroll, B. Phillips (LLNL), J. Bates and W. Ebert, (ANL) entitled "Modeling 202-SRL Glass Dissolution: Combined Constraints from Varying SA/V, Flow-Through, Surface Titration, AEM, and NMR Experiments" was submitted to YMPO for approval. This paper will be presented at the American Ceramic Society meeting in Cincinnati, OH, April 18-22.
D-20-27 Unsaturated Testing of WVDP and DWPF Glass
The N2 tests (SRL actinide-doped glass) continue with no sampling period occurring this month. These tests have been in progress for 360 weeks. The N3 tests (ATM-10, a West Valley actinide-doped glass) continue and have been in progress for 278 weeks.
184.108.40.206.2 Metal Barriers
D. McCright was appointed Technical Area Leader for the EBS Materials Characterization Technical Area on February 1. Members of this technical area met with representatives of YMPO and the M&O on February 11 to discuss recent developments in waste package designs, fabrication, and materials. An outline for a limited amount of experimental work was developed; the purpose of this work is to support thermal load decisions on the extended dry concept for long term containment.
At the request of R. Eish (M&O), J. Mitchell provided estimates of the material costs for the three materials recommended for the YMP Conceptual Design (single, material, thin-walled container); nickel-rich Alloy 825, nickel-base Alloy C-4, and Grade 12 titanium. The costs were based on manufacturing estimates for plate stock.
Work is continuing on compiling information on carbon steels, low alloy steels, and cast irons for a degradation mode survey on this class of materials. Thick sections of these iron-base materials could be used as an overpack for multiple purpose containers, and their use would be consistent with strategies toward high thermal loads to keep the near field environment "dry" for an extended period of time.
Laboratory equipment was moved and re-installed in readiness for performing some experimental work. A purchase order for a thermogravimetric apparatus (TGA) system was submitted for a capital equipment purchase. The TGA system
will be used for sensitively determining the corrosion and oxidation rates of metals as a function of temperature and humidity.
At the request of the Performance Analysis Technical Area, J. Mitchell provided estimates of the reduction of container wall thickness of carbon steel engineered barrier overpacks for 10,000 years based on the extended dry waste package design concept. These estimates were based on low temperature oxidation of steel as the operable degradation mode.
220.127.116.11.3 Other Materials
This WBS element has not been funded in FY93.
18.104.22.168.4 Integrated Testing
22.214.171.124.4.1 Integrated Radionuclide Release: Tests and Models
Determination of Elemental Profiles in Rocks, Minerals, and Glasses using the Ion Microscope
Secondary ion mass spectroscopy (SIMS) analysis has begun.
The preparation and characterization of Clinoptilolite samples to be used for high temperature cation exchange experiments has begun.
Interactions of Actinide-bearing Solutions with Rock Core Samples
The balance, data logging cables and Lab View software options for automating flow rate measurements were installed on the flow-through apparatus. Work continues on altering the balance to accept the effluent feed tube.
126.96.36.199.4.2 Thermodynamic Data Determination
Information was provided to A. Simmons and R. Levich of YMPO on the status of U.S. contributions to NEA work.
188.8.131.52.5 Nonmetallic Barrier Concepts
This WBS element has not been funded in FY93.
184.108.40.206 Design, Fabrication, and Prototype Testing
220.127.116.11.3 Container/Waste Package Interface Analysis
This WBS element has not been funded in FY93.
1.2.3 SITE INVESTIGATIONS
18.104.22.168 Site Investigations Coordination and Planning
This WBS element has not been funded in FY93.
22.214.171.124 Geology
126.96.36.199.1 Natural Analogue of Hydrothermal Systems in Tuff
This WBS element has not been funded in FY93.
188.8.131.52 Geochemistry
184.108.40.206.2 Geochemical Modeling
Activities continued to set up the 486 PC as a second host platform for EQ3/6. A DOS emulator was set up on the Sun SPARCstation to perform UNIX to DOS conversions (the emulator is roughly equivalent to a 286 PC). The SPARC is now capable of writing compressed DOS files on DOS-formatted floppies. Version 7.1 of EQ3/6 was transferred to the 486 PC in this manner. It is being ported onto this machine using the Lahey F77L EM/32 Fortran compiler.
Rev. 0 of the "Software Design Documentation for EQ3/6, Version 8" is being reviewed.
220.127.116.11 Altered Zone Characterization
YMPO has notified LLNL of its decision to fund this WBS element with FY92 underrun funds; however, the funds have not yet been furnished to LLNL in an Approved Financial Plan (AFP).
1.2.5 REGULATORY
18.104.22.168 Regulatory Coordination and Planning
This WBS element has not been funded in FY93.
22.214.171.124 Licensing
126.96.36.199.2 Site Characterization Program
LLNL participated in the Integration Group meeting to review draft responses to comments from the NRC, the State of Nevada and affected counties on the "Report of Early Site Suitability Evaluation of the Potential Repository Site at Yucca Mountain, Nevada". Participant representatives met with YMPO staff in Las Vegas on February 23 to finalize comment responses.
188.8.131.52 Technical Data Management
184.108.40.206.4 Geologic and Engineering Materials Bibliography of Chemical Species (GEMBOCHS)
The prototype development of a WINDOWS/4GL (mouse-driven) version of D0OUT was completed. This program facilitates interactive point-and-click generation of thermodynamic datafiles for EQ3/6, GT and other geochemical modeling packages. The program is currently undergoing local beta testing.
Several new modifications were incorporated to CNGBOCHS (and the associated CNGREQ database). These will greatly simplify the planned use of this automated change-request package by other LLNL/YMP research groups (in addition to GEMBOCHS and EQ3/6, for whom the package was originally designed).
A dedicated directory was established on the GEMBOCHS sparcstation2 (node s60 of the local Sun network) where the new generation of GUI (Graphical User Interface) GEMBOCHS software will reside; the D0OUT prototype will be the first such program available.
A customized, composite thermodynamic datafile that contains only carbon-bearing species was generated for use with EQ3/6.
220.127.116.11.5 Technical Data Base Input
J. Johnson attended the Ingres Education Course "INGRES for Application Developers (INGRES/Embedded SQL)" at Ingres headquarters in Alameda, CA on February 1-5.
18.104.22.168 Performance Assessment
22.214.171.124.2 Waste Package Performance Assessment
The LLNL EBS/NFE performance assessment staff began a series of meetings to discuss issues and ideas for a source term description incorporating explicit thermal effects. LLNL hosted a two day visit by the Total System Performance Assessment (TSPA) staff from SNL to discuss the source term scope for TSPA-2. A preliminary scope has been prepared to elicit feedback from other participants. A series of technical work sessions has begun with Waste Form, Waste Package Materials, and Near Field Environment personnel to develop mechanistic process descriptions to be abstracted into the improved source term.
The modeling of thermal response was extended for drift-emplaced-package repository design concepts, to calculate container temperature history as well as cladding temperature history. The model is a parameterization of detailed calculations done in other tasks as described in last month's progress report. The container material has not been selected, and therefore the upper temperature limit has not been selected. Trial analyses show that feasible design parameters can meet temperature limits in the 200 to 300°C range with different areal mass loadings. One selection has 155 MTU/acre and a container temperature limit of 300°C; another has...
92 MTU/acre and a container temperature limit of 200°C. A container temperature limit even of 300°C is more of a constraint than is a cladding temperature limit of 350°C. This is not an optimization study; it is a feasibility study to select an appropriate design as the subject of a performance assessment.
Revisions are being made to the PANDORA theoretical manual "PANDORA 1.1 User's Manual" by L. Lewis and C. Hardenbrook as a result of reviewers' comments.
1.2.9 PROJECT MANAGEMENT
126.96.36.199 Management and Coordination
188.8.131.52.2 Technical Project Office Management
W. Clarke attended a dry run of the briefing for L. Barrett (OCRWM) in Las Vegas on February 2.
LLNL responded to a request for feedback on the use and/or improvement of the Site Atlas. There were no comments at this time.
M. Revelli reviewed the draft and final reports to the Assessment Team on the Natural Barriers Evaluation Workshop. Comments were forwarded to A. Van Luik (M&O) in Las Vegas.
W. Clarke, B. Bryan and M. Revelli hosted R. Hughey and G. Peterson (DOE/SAN) on February 3. In addition to a tour of facilities at LLNL supported by the Yucca Mountain Site Characterization Project, the visit included discussions with LLNL/YMP management and principal investigators.
D. Stahl, P. Gottlieb (M&O) and M. Smith (YMPO) met with LLNL staff in Livermore on February 11 to discuss FY93 budget and workscopes. D. Harrison (YMPO) and H. Benton (M&O) met with LLNL staff on February 18 for further discussions.
J. Blink (LLNL) and members of the YMPO and M&O staff met with C. DiBella of the Nuclear Waste Technical Review Board (NWTRB) staff on February 16-17 in Las Vegas. Several LLNL papers to be presented at the upcoming IHLRWM conference were given to Dr. DiBella.
J. Blink attended the Quality Integration Group Meeting in Las Vegas on February 19. J. Blink participated in the Infrastructure Cost Reduction committee meeting in Las Vegas on February 12.
J. Blink met with T. Statton (M&O) on February 22 to discuss LLNL input to the FY94 Annual Plan for Site Characterization. J. Blink provided input to the SRG-5 drilling meeting in Las Vegas on February 24; core was requested to support LLNL Study Plans.
J. Blink presented hands-on science lessons to 560 elementary school students at Huffaker School in Reno, NV and Bijou School in South Lake Tahoe, CA on
February 2-4. He also served as an NTS-YMP tour guide for 45 students and adults from the Booker Sixth Grade Center (of Las Vegas) on February 11. Finally, he presented hands-on science lessons to 140 students at the Meadows Elementary School in Las Vegas on February 26 and March 1.
J. Blink participated in Nevada Regional Science Bowl Training in Las Vegas on February 12 and served as a moderator for eight matches on February 28. At the "Science Bowl Pizza Party" that evening, J. Blink supervised a speed-of-light measurement contest for the students.
### 184.108.40.206 Project Control
#### 220.127.116.11.2 Participant Project Control
The January FTE cost report was submitted to YMPO. The January actual schedule progress and costs to PACS reporting system were submitted via the PACS reporting system. A variance analysis explanation was developed for several P&S accounts for activities undertaken in January.
The Cost Plan was updated to include January actuals.
The capital acquisition plan is still under development. The plan addresses three computing systems: a Silicon Graphics Computer, two Sun SPARCstations 10Mod41, and a Model 54 Sun SPARCstation. A revised list of FY93 capital equipment requirements was submitted to YMPO.
A response was generated to a YMPO request for additional (BOE) Basis of Estimates sheets for Mission 2001 planning. Several WBS elements list LLNL as a responsible participant. However, since LLNL does not contemplate activity under these elements, BOE records have not been developed.
J. Podobnik and P. Krantz attended Performance Management Training in Idaho Falls, ID, February 23-26. The course was conducted by Performance Management Associates. The first two days covered systems and techniques for earned value measurement. The second half of the course focused on scheduling techniques, and was attended by P. Krantz, a newly assigned Project Control technician, as part of her indoctrination/training.
The FY95 Field Work Proposal (FWP) is being developed. This annual planning document is a DOE requirement placed on the entire Laboratory and is submitted directly to DOE through the San Francisco Field Office (SAN). YMPO is not directly involved. This year's submission will cover FY93-95.
Work continues to automate transfer of data between laboratory financial systems and the PACS workstation. The FTE calculation module is approximately 80% complete. The remaining modules are labor dollars and other direct charges.
1.2.11 QUALITY ASSURANCE
18.104.22.168 Quality Assurance Coordination and Planning
The Trend Analysis Report for calendar year 1992 was completed in accordance with the requirements of QP 16.2. The report was approved and distributed on February 19.
22.214.171.124 Quality Assurance Program Development
Following a thorough internal review of the DOE/RW-0333P QARD (Rev. 0), LLNL completed a draft QARD Implementation Matrix, an Impact Analysis and a Transition Plan. This material was transmitted to the YMQAD office on February 10. Work continues at LLNL to develop those changes to internal procedures that have been identified as necessary to fully implement the QARD.
126.96.36.199 Quality Assurance Verification
CAR-LLNL-009 was completed, verified and transmitted to the YMQAD office.
188.8.131.52.1 Quality Assurance Verification - Audits
No significant activities.
184.108.40.206.2 Quality Assurance Verification - Surveillance
No significant activities.
220.127.116.11 Field Quality Assurance/Quality Control
This WBS element has not been funded in FY93.
18.104.22.168 Quality Assurance - Quality Engineering
Support continued for the Waste Form Characterization area.
1.2.12 INFORMATION MANAGEMENT
22.214.171.124 Records Management
126.96.36.199.2 Local Records Center Operation (LRC)
No new revisions or change notices were issued by Document Control.
188.8.131.52.3 Participant Records Management
A total of 216 items were logged into the LLNL-YMP tracking system. This includes 29 records/records packages that were processed through to the CRF. Ten action items were closed.
Approximately half of the 1992 records have been cross referenced from the database to microfilm.
184.108.40.206.5 Document Control
LLNL received no funding under this WBS. Work performed to complete LLNL's obligation in this WBS is funded under WBS 220.127.116.11.2.
1.2.13 ENVIRONMENT, SAFETY AND HEALTH
18.104.22.168 Environment, Safety and Health Coordination and Planning
The M&O was informally notified of LLNL resource requirements in this "element".
Changes were submitted to the PEARL directory.
1.2.15 SUPPORT SERVICES
22.214.171.124 Administrative Support
No significant activities.
126.96.36.199 Yucca Mountain Site Characterization Project (YMP) Support for the Training Mission
A response was sent to YMPO regarding the training of personnel in the starter tunnel. LLNL personnel would be treated as visitors who would only require an hour or two per visit to observe geologic features. They would be escorted by trained mining personnel.
Forty four different self-study assignments were issued, and 138 people were trained to these assignments. Currently, there are 70 participants on the project who are to be trained and/or tracked.
B. Bryan and T. Holmes attended the Training Coordinator's meeting in Las Vegas on February 23-25. Two days of this meeting were devoted to Performance Based Training.
J. Blink completed General Employee Radiological Training in Las Vegas on February 17.
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We think of music
OSA – Ochranný svaz autorský pro práva k dílům hudebním, z.s. is a professional association of composers, lyricists and music publishers, which continues the work of Ochranné sdružení spisovatelů, skladatelů a nakladatelů hudebních děl, zapsané společenstvo s ručením omezeným (Protective association of writers, composers and publishers of musical pieces, registered union with limited liability), which was founded in 1919 by Karel Hasler, Rudolf Piskáček, Arnost Hermann, Josef Sváb, František Šmid, Eduard Joudal, Emil Stolc, Otakar Hanuš and Karel Barvitius. The son of composer Antonín Dvořák was one of the first directors. OSA is also one of the founding members of the International Confederation of Authors and Composers Societies CISAC (founded in 1926) and Bureau International de l’Edition Mécanique BIEM (founded in 1929).
Management of copyrights of represented composers, lyricists, inheritors of copyrights and publishers, not the interpreters of these compositions, is the mission of OSA. To ensure the widest possible territorial and repertory coverage, Ochranný svaz autorský (Copyright Protection Association) has concluded contracts with partner companies around the world, and in this way, it offers the authors a unique opportunity to get paid automatically for music played in most countries of the world. Currently, in the Czech Republic, OSA represents rights and offers repertoire of more than 1,000,000 copyright holders from various parts of the world; as of 31 December 2016, there were 9,159 domestic authors. OSA represents foreign authors through reciprocal agreements concluded with 80 foreign collective rights managers.
Because of this extensive international background, the tradition of almost one hundred years and last but not least the active enforcement of copyrights at home and abroad, OSA strives to give authors the opportunity to concentrate on their work without being disturbed.
At the same time, we facilitate simple and easy access to legal use of the compositions of authors from all over the world and across genres to all users. OSA creates an important bridge between authors and users in this way.
Music brings beauty to people’s lives. Its creators deserve our recognition, admiration, but mainly care and support. Our mission is to ensure that the authors can develop their unique talents further and thereby enrich our lives. And it is their talent, if you want a gift that needs to be promoted most.
Some authors present this gift as the ability to see music. They see music as colorful shapes that are formed from individual tones, melodies, rhythms and harmonies where everything fits in perfectly and creates a beautiful three-dimensional image full of colors, shapes, synopsis, mirroring and movement.
## Table of contents
| Section | Page |
|------------------------------------------------------------------------|------|
| OSA supervisory board report 2016 | 8 |
| OSA organizational structure as of 31 December 2016 | 42 |
| OSA profile | 16 |
| Macroeconomic perspective and average expenses of inhabitants on musical copyrights in 2016 | 48 |
| OSA clients | 26 |
| OSA annual report on activity and economic result for 2016 | 54 |
| Distribution and payment of royalties | 72 |
| OSA management | 34 |
| OSA activities outside the collective management system | 80 |
| OSA and the world | 90 |
| Legal risks | 82 |
| Cultural activities and social responsibility | 98 |
| OSA trademarks | 84 |
| OSA employees | 106 |
| Overview of OSA - managed real estate | 86 |
| Independent auditor’s report | 111 |
OSA in figures 2016
Year-on-year comparison of main indicators of economic results for 2016/2015 *
| Indicator | 2016 | Diff. 2016/2015 | % change |
|------------------------------------------------|----------|-----------------|----------|
| Royalties collected for OSA | 929,849 | + 88,390 | + 10.50% |
| Distributed to authors and publishers | 787,894 | + 103,495 | + 15.12% |
| Total royalties collected | 1,007,329| + 92,345 | + 10.09% |
| Total costs | 142,407 | + 7,708 | + 5.72% |
| Average overheads | 14.14% | | -0.58% |
Structure of royalty collection from selected segments *
| Segment | 2016 | Diff. 2016/2015 | % change |
|----------------------------------------------|----------|-----------------|----------|
| Television broadcasting | 212,761 | + 2,937 | + 1.40% |
| Recorded music | 199,211 | + 25,438 | + 14.64% |
| Concerts and other live music productions | 143,393 | + 35,645 | + 33.08% |
| Radio broadcasting | 82,166 | + 12,983 | + 18.77% |
| Cable transmission operators | 90,232 | - 5,519 | - 6.44% |
| Blank media levies | 74,923 | + 2,624 | + 3.63% |
| Royalties collected abroad | 61,706 | + 1,724 | + 2.87% |
| Music carriers sold | 20,441 | + 3,234 | + 18.79% |
| Internet | 15,554 | + 5,268 | + 51.22% |
| Cinemas and other projections | 13,539 | + 4,147 | + 44.15% |
| Agency activity (synchronization, theatre performances) | 6,323 | + 1,496 | + 30.99% |
| Audiovisual works with music content | 5,216 | - 1,534 | - 22.73% |
* exclusive of other collective rights managers in CZK '000
Dear colleagues,
this report of activities of the Supervisory Board relates to the period from the last General Meeting held on 19 May 2016 to the 2017 General Meeting held on 23 May 2017.
**Introductory information** Our Board of Directors consisting of three members is stable and its members have not changed. After the elections held at the last General Meeting, the Supervisory Board started working with its new members. All elected members have delivered their clean criminal record certificates and negative lustration certificates in accordance with Article 12.1 of our statutes.
**Audit** The regular audit, carried out by Apogeo, did not detect any defects in OSA accounts for 2016 and the information contained in the annual report of OSA Board of Directors is consistent with the financial statements in every respect.
**Economic results** Once again we can state with satisfaction that OSA’s economic growth continued in 2016. The total of royalties collected grew by 10 %. Our realistic targets were exceeded in a manner best described as “outstanding” or, if you wish, a dreamland. We really did not expect reaching the ten-digit number as early as in the last year.
The year of 2016 also beat the results of the historically most successful year of 2015 and the best economic result for the whole existence of OSA was achieved. Collection of royalties was not affected by any extraordinary circumstances beyond a standard accounting year. The reason behind the result is to be found particularly in the hard work of the Board of Directors and OSA employees. Despite an increase in the costs necessary to improve productivity, the average overheads were reduced by 0.58% thanks to the record amount of royalties collected. Other details and detailed statements can be found in the annual report of OSA Board of Directors. In the next page, you can examine reference charts of royalties collection development over the last 11 years.
| Year | Total royalties collected (in CZK 000 net of VAT) | Average overheads |
|------|--------------------------------------------------|-------------------|
| 2014 | 900,145 | 15.54% |
| 2015 | 914,984 | 14.72% |
| 2016 | 1,007,329 | 14.14% |
**Membership**
As of 31 December 2016, OSA represented in total 9,159 copyright holders compared to the 8,819 in the previous year. The number of members slightly increased in between the General Meetings. As of 31 December 2016, there were 578 members in total – 331 are popular music composers, 77 are classical music composers, 92 are lyricists, 53 are inheritors and 25 are publishers. But from 1 January 2017, we have 19 new members accepted at the last General Meeting. Hence the current number of association members is 597 (compared to 592 in the last year). Membership conditions were met by the total of 27 copyright holders this year. Membership application was filed by 10 represented persons – 6 popular music composers and 1 classical music composer in the professional group of composers, 1 lyricist and 2 inheritors. Decision on these applications will be made at this year’s OSA General Meeting.
**Copyright Act amendment**
It was supposed to be a major event of 2016 for us but it was eventually delayed by one year. But to be fair, the Czech Republic is not the only country in delay. We received the government’s draft amendment last year in February. The purpose of the amendment was to transpose the directive of the European Parliament into our legal system but it became a battle for collective rights managers’ tariffs. The government’s amendment which contained an effective freeze of royalties “for ever” had been drawn up much earlier than OSA published its new tariff for music performed by means of technology in March 2016. Therefore it is not appropriate to look for a causal link between our tariff and legislator’s intention to limit collection of royalties. Our tariff was later misinterpreted and used to influence the public not at the time of publishing but a few months later. Everything was time just before the regional elections and debates on the copyright act amendment. The famous 50% increase applies only to hotels and restaurants in the cities with population higher than 100,000 and OSA’s share in this segment (“Vset”), from which royalties are collected also by other collective rights managers (Intergram, Dilia, OOA-S, OAZA), was less than 24%. Our share increased by 50% affected end users as an overall increase by 19%. OSA’s tariff share is currently 30% and our rate is not the highest among the aforementioned companies after the rise in prices. If we go a little further, we can ask whether the overall relations among individual collective rights managers comply with the common European standard. The information about a rise in OSA’s prices – i.e. all prices increased by 50% – was a complete fiction or more precisely a calculated disinformation.
A new tariff in the segment of public production of live music has been in force since 1 January 2016. This tariff was subject to strict examination. "The Office for the Protection of Competition inquired into a possible violation of the Act on Protection of Competition resulting from the increase of OSA royalties in the live music tariff for 2016 compared...
to the tariff in force in 2015. In this respect, the Office states that it has concluded the inquiry without finding any reasons for initiation of administrative proceedings. The complainant has been informed in this respect. The OPC is also supposed to inquire into our new tariff for recorded music.
**Work of the Supervisory Board** In addition to its standard activities, we devoted the most time to the amendment of the Copyright Act. Where possible, OSA representatives attended each round-table discussion as well as each meeting of parliamentary or senate committees. We had several opportunities to meet with deputies and we made use of them. We distributed several letters, e.g. to the Ministry of Culture or to the prime minister of the Czech Republic. At this point I would like to express my thanks to Ing. Roman Strojček, chairman of the Board of Directors, because he had to communicate with and face the pressure of the media throughout the year. We would like to believe that our effort helped reverse the negative development of the discussed amendment. The suffering resulted in a comprised Copyright Act which, once a few legal issues are resolved, we can learn to comply with. We will have a tariff regulator which standard in the European Union. When we want to increase the rates by more than the annual inflation, we will need a prior approval of the Ministry of Culture. Where the Ministry of Culture does not grant the approval in public proceedings, we will have a remedy of turning to a court.
From 1 January 2017, OSA is a member of the Economic Chamber of the Czech Republic. We considered it appropriate to join this organization in order to declare our affiliation with the private business sector. Authors are subject to special legislation and they are either self-employed persons or they are registered as small companies. This is a special type of business where each author carries on business using his/her art and talent in the creative industry. As proven by the last year’s figures, the amounts of money involved are not small. OSA is also an organization working across borders and author activities represented by OSA provide employment to many other professions and services on the labor market. Our admission raised heated debates in the Chamber, which is good. OSA certainly deserves more respect.
**Fundamental documents** The Supervisory Board together with its committees dedicated efforts to adjustments of our fundamental documents. At this year’s General Meeting, we have to adapt our internal regulations to the requirements of the new Copyright Act. Therefore, we will amend the statutes, rules of procedure of the General Meeting as well as the distribution rules including the statutes of the cultural and social fund. Some changes brought about by the directive of the European Parliament and the amendment to the Copyright Act may be considered technical because they are mandatory for us. Factual changes which are subject to our decision will be discussed in detail in advance. We present the distribution rules for public performances – live music in accordance with new principles which were presented in 2015 and, having been reviewed, are fully consistent with the directive of the European Parliament as well as with the amendment to the Copyright Act. Structure of our current distribution rules is factually based on the situation existing in the nineties but since then the music market and technology of musical works dissemination have substantially changed. The proposal aims to accept changes or the external environment, improve the position of domestic authors, achieve greater fairness and radically simplify the distribution process. To do so necessitates transition to the direct distribution of royalties collected while maintaining the current level of support for non-commercial works through the cultural and social fund as is the current practice of the vast majority of European collective rights managers.
**Conclusion** Last year’s results are persuasive evidence of the excellent condition of OSA. But it still applies that OSA must be able to compete within EU countries. Another directive of the European Parliament regarding the copyright is expected to be passed in two years. The effort to unify protection of copyrights in the European Union continues and hence we await another amendment to the present one. But the contents of the next amendment are still unknown.
Let me express my thanks on behalf of the Supervisory Board to the Board of Directors and OSA employees for their year-round work and outstanding economic results in 2016 and to all of you for your trust.
On behalf of the Supervisory Board, I wish many creative and personal successes to you all.
Luboš Andršt
for the Supervisory Board
Inspired by the composition
Amerika
Michal Dvořák
Robert Kodým
David Koller
2.1. Basic OSA characteristics
Name: OSA — Ochranný svaz autorský pro práva k dílům hudebním, z.s.
Legal form: registered association
Registered office: Čs. armády 786/20, Prague 6, post code 160 56, Czech Republic
ID: 6383997
Tax ID No.: CZ 6383997
Registered in the Associations Register kept by the Municipal Court in Prague, Section L, Insert 7277
Contact information
OSA — Ochranný svaz autorský pro práva k dílům hudebním, z.s.
Čs. armády 20
160 56 Prague 6
Telephone: +420 220 315 111
Fax: +420 233 343 073
E-mail: [email protected]
Internet: www.osa.cz
Facebook: www.facebook.com/Ochrannysvazautorsky
Autor in: www.autorin.cz
Infosa: www.infosa.cz
Myslime na hudbu (We think of music): www.myslimenahudbu.cz
OSA annual awards: www.cenyosa.cz
Customer centre — Havlíčkův Brod
Nádražní 397
580 01 Havlíčkův Brod
Customer line: +420 220 315 000
E-mail: [email protected]
Subject of activity
The collective management of ownership copyrights to musical pieces with or without lyrics and to other copyrighted works within the meaning of the Copyright Act and disclosure of these works to the public and related activities on the basis of an authorization granted by the Ministry of Culture of the Czech Republic or on the basis of a commission granted to OSA by other collective rights manager, all of these are the main subjects of business of OSA. OSA further performs agency activities on the basis of an issued trade license. Within the agency, it also grants licenses on the basis of an individual commission from individual copyright holders.
OSA is a member of international organizations
CISAC Confédération Internationale des Sociétés d'Auteurs et Compositeurs
International Confederation of Societies of Authors and Composers
BIEM Bureau International des Société Gérant les Droits
d'Enregistrement et de Reproduction Mécanique
International Bureau of Companies Managing Rights for Mechanical Recording
and Reproduction of Musical Works
GESAC Groupement Européen des Sociétés d'Auteurs et Compositeurs
European Association of Authors and Composers
Awards
Since 2011, OSA has been the holder of the highest degree of evaluation performed by the International Confederation of Societies of Authors and Composers (CISAC). In an in-depth audit, focused on effectiveness of management, transparency of internal documents (distribution order, statutes, company directives etc.), and processes (for example monitoring of financial flows of non-specific income), equal approach to all copyright holders (domestic or foreign, members or represented persons), or quality and extent of the offered services, OSA was found to be a company fulfilling the so-called "Professional Rules", which are binding on companies united within CISAC, without any exception.
> www.osaac.org
2.2. Mission and values
Our motto
We think of music
Our mission
Copyright holders
composers, lyricists, music publishers, inheritors
We actively enforce your copyrights home and abroad
We let you have enough time for your work.
We negotiate terms and conditions on your behalf and subsequently monitor any use of your works.
We set trends in the speed of royalty payments. We belong to the world's finest in this regard.
With us, you know where your songs are being played! We provide a detailed list of the use of your works along with your payment.
Music users
businessmen, operators, promoters, professional and amateur public
With our music, we help your business to create a pleasant atmosphere, help with advertising or just playing something nice to listen to, to evoke emotions in a film or at sports grounds.
We make your paperwork much easier. Our employees arrange rights to music of more than one million composers and lyricists of various genres from all around the world for you.
Our values
Community. We are a professional association of composers, lyricists and music publishers.
Tradition. We have been here for your since 1919.
Music. We share feelings through (our) universal language.
Availability. We make the music world available from one place.
Openness. We promote transparent approach.
Association effectiveness Less paperwork — more time for work, legal protection and higher earnings
We are an authors’ association which was founded on the basis of needs which had been shared for a long time, and whose basic building stone is mutual solidarity. An author needs especially time and means for his work. Unity with the Copyright Protection Association provides authors with a unique opportunity to focus on their professions instead of paperwork, which they can let the professionals do.
Background of many years of experience, a strong position given by common interest of more than one million represented authors from all around the world, the most complex database of information on music compositions and number of their replays on the Czech market, expertly educated and experienced management and knowledge of the trends on the copyright market give authors a feeling of unity with professional groups, time and energy saving and last but not least better chances and higher effectiveness in the activities subsequently interconnected with music.
We will negotiate business terms and conditions on behalf of authors and at the same time, through contracts, we will provide them with important legal and tax frame and protection including possible legal enforcement of claims. With us, authors’ works are safely registered in an international database. On authors’ behalf, we monitor where their music is being played. Regardless of the dynamically growing volume of data from users, we keep shortening the period between the use of music and payment of royalties for such use. We distribute royalties continually after the receipt of funds and musical pieces reports from users and we subsequently pay the royalties in four pay periods: in March, June, September and December.
The whole world from one place Easy access to legal worldwide music and royalties
Users of music — businessmen, promoters or producers - do not have to undergo complicated identification of the authors of desired works and then approach individual copyright holders to negotiate terms of use of their works, but they can solve everything quickly and simply. In one contact place, we will help them with easy identification of music of more than one million composers and lyricists from all around the world and at the same time, they can negotiate the conditions of use of their music. Thanks to our long-term cooperation with DILIA collective rights manager, we are able to offer to settle not only the rights of authors of music, but also the rights of authors represented by this collective rights manager, and to do so in the case when television receivers are located in public places, such as bars, restaurants, hotel rooms etc. On the other hand, authors represented by us gain simple access to royalty fees for their music used in most countries of the world. We register their works in international databases. On the basis of reciprocal contracts concluded with foreign partner organizations, these companies automatically send royalties for music of our authors to us and we subsequently pay them to our clients. We are able to eliminate cases of unpaid foreign use of music within the preliminary or complaint procedure. The system works reciprocally, i.e. we identify the use of music of foreign authors in the Czech Republic, we receive royalty fees for it and we subsequently pay these to partner author organizations abroad.
Music = language that connects us Through reciprocity and diversity to mutual synergy
Music is a means of communication. Effective communication is bilateral and so are our activities. We try to create an inspiring environment which not only provides energy and resources for authors themselves but, at the same time, is open to its surroundings and allows the general public to use it for various purposes.
Music is a language through which we convey our opinions, feelings and wishes to our surroundings. Our language is very rich and colorful. We represent and offer rights to tens of millions of musical pieces across genres by authors and lyricists not only from the Czech Republic, but also from various parts of the world. By consistent application of equal approach to all musical repertoires, we create voluminous and diverse cultural mix with a strong potential to become an original and effective assistant in business. The research shows that music is a relatively cheap but strong marketing tool, which intensively shapes consumer behavior and expectations. Music can create the desired atmosphere, emphasize emotions, invite to action or rest. It can do all that in the most diverse places and situations – at the place of business, in a movie or at sports grounds. The strength, effect and beauty of music can be best discovered through a common language between authors and users.
Transparent approach Informed trust
The greatest possible openness towards authors, users, domestic and foreign partners and the general public is one of the main priorities of our association’s policy. We work out in detail the distribution mechanisms in the distribution order published at the OSA website and the principles of our association’s self-government and functioning in the Statutes. We present basic economic indicators transparently and in summary in the regularly published yearbook, whose archive can be found at the website together with the current Annual Report, auditor’s report or annual financial statements. Most information and fundamental documents are also available in English. In this regard we belong to the most transparent collective rights managers in the world, which we take pride in.
> www.osa.cz/bb/en-menu-eng/downloads/distribution-rules_statutes_annual-reports/
Together with payment of royalty fees, we provide authors with regular detailed reviews of the use of their works, giving them the information necessary to eliminate unpaid uses and to adequately control their income. To the authors, we guarantee regularity and at the same time an above-standard speed of quarterly payments of royalty fees. Personal electronic account of an author in the INFOSA system is a very important source of information for authors. Using the system, the represented author can register new compositions and lyrics from the comfort of his home and at the same time, he has a grasp of the works he has registered so far, including a detailed overview related to where and how many times a specific composition was played, i.e. at which concert, on which television or radio station etc. On the website, we also publish the most important forms (representation contracts, notices of new works etc.).
> www.infozac.cz
> www.osazobeni-menu-eng/downloads/authors-and-publishers/
Four times a year, we publish our own printed magazine Autor in, in which we inform our represented authors, partners and, through its electronic version, also the general public of important news and changes, we present various statistical and economical analyses, interviews with music celebrities or up-to-date information from the world of the Czech music scene. Particularly for the user public, we have also placed a publicly accessible on-line database of the OSA repertoire with detailed information on individual compositions and their authors on the website. Of course, we publish a clearly ordered table of tariffs.
> www.autor.cz
> www.osazobeni-menu-eng/downloads/musical-works-database
> www.osazobeni-menu-eng/downloads/pricelist/
We also fulfill the demands for transparency in the provision of information on our accounts, tariffs, contractual obligations etc. towards our foreign partners and international organizations to the greatest extent possible. We regularly send the required information to relevant multi-national central locations (CISAC, BIEM, GESAC) or publish it in English for the needs of other companies on our website. Within the in-depth audit carried out by the International Confederation of Societies of Authors and Composers (CISAC) which was focused inter alia on effectiveness, transparency and quality of knowledge of its surroundings, OSA got the top evaluation within the evaluation scale — as a company fulfilling the so-called “Professional Rules”, which are binding on companies associated within CISAC, in full.
Inspired by the composition
ToulaVá
Ondřej Frater
Sebastian Navrátil
3.1. Copyright holders
Composers, lyricists, music publishers and inheritors
3.1.1. Representation by OSA association
OSA distinguishes two forms of a relationship:
- represented person
- member (with a right to vote and an opportunity to vote representatives or run for Supervisory Board himself or herself at the General Meeting of OSA members)
Who can be represented by OSA?
Every author of music (composer or lyricist), music publisher or copyright inheritor who concludes a contract for representation with OSA and at the same time proves that he or she is an author or a copyright holder of at least one publicly performed musical piece. Further, every author who concluded a contract for representation with a foreign collective rights manager, with which OSA had concluded a contract for representation of foreign authors in the Czech Republic can be represented by OSA. We do not represent performers (singers).
More than 1,000,000 authors and publishers from all around the world,
out of which 9,159 were domestic ones.
Total number of copyright holders as of 31 December 2016: more than 1,000,000 authors and publishers from all around the world, out of which 9,159 were domestic ones.
| Total domestic copyright holders | 9,159 |
|----------------------------------|-------|
| Authors | 5,831 |
| Inheritors | 3,211 |
| Publishers | 117 |
Number of copyright holders who joined the “OSA family” in 2016
| Total newly represented domestic copyright holders | 339 |
|--------------------------------------------------|-----|
| Authors | 336 |
| Publishers | 3 |
19 newly accepted members in 2016 *
*accepted by the GM in 2016 (effective from 1 January 2017)
Who can become a member of OSA?
A composer, lyricist, publisher or inheritor who concluded the contract for representation with OSA and at the same time fulfills the conditions set by OSA Statutes with respect to the period of representation and amount of collected royalties, and who is accepted as a member by the OSA General Meeting.
Composer and lyricist he or she must have been represented at least for the period of five years and achieved at least the amount of CZK 80,000 in royalties in the past four successive years, or CZK 1,000,000 in total for the past five years
Publisher he or she must have been represented for the minimum of five years and achieve double the sum set for composers and lyricists in royalties.
Inheritor
- the deceased was a member of OSA: the royalties of the deceased author amounted at least to 2/3 of the sum set for composers and authors in the past free successive years prior to death;
- the deceased was not a member of OSA: in the last five years, the royalties of the deceased author (all inheritors in total) amounted at least to the double of the sum set for composers and lyricists for the period of five years.
* The required minimal royalty is decreased by half for classical music composers, heirs and publishers.
Structure of members as of 31 December 2016
| Total members | 578 |
|--------------------------------|-----|
| Popular music composers | 331 |
| Classical music composers | 77 |
| Lyricists | 92 |
| Publishers | 25 |
| Inheritors | 53 |
3.1.2. How to protect your musical pieces?
Musical pieces are registered on the basis of notices of new works delivered by the author in relation to every musical piece. An author who will not report his musical piece in time exposes himself to the risk that if his work is used, he will not receive his royalty fees in proper period.
3.1.3 Newly registered notices
| Total newly registered notices | 13,700 |
|-------------------------------|---------|
| Lyricists | 1,664 |
| Classical music composers | 1,462 |
| Popular music composers | 10,574 |
3.2. Users of music
Businessmen, operators, promoters, professional and amateur public
Total number of business partners in all segments of royalties collection in 2016
50,351 business partners*
* according to Company ID
In 2016, we distributed royalty fees to authors and publishers on the basis of lists of used musical pieces from:
- organizers of 33,422 concerts
- 37 television stations that played 122,717 hours of music in 2016
- 110 radio stations that played 597,595 hours of music in 2016
Realized concerts in 2016
- 79.83% popular music concerts
- 11.32% jazz concerts
- 8.29% classical music concerts
- 0.43% dance parties with DJ
- 0.13% music recitals
Regional division of business partners in 2016
| Region | Share in % |
|-------------------------------|------------|
| Capital of Prague | 15.65% |
| South Moravian Region | 11.38% |
| Central Bohemian Region | 10.77% |
| Moravian-Silesian Region | 10.09% |
| South Bohemian Region | 7.18% |
| Ústí Region | 6.35% |
| Olomouc Region | 6.25% |
| Plzeň Region | 5.99% |
| Hradec Králové Region | 5.52% |
| Vysočina Region | 4.69% |
| Zlín Region | 4.34% |
| Pardubice Region | 4.21% |
| Liberec Region | 3.54% |
| Karlovy Vary Region | 3.26% |
Inspired by the composition Měsíčku na nebi hlubokém
Antonín Dvořák
Jaroslav Vojtěch
OSA management
4. 1. General Meeting
General Meeting is the supreme body of OSA. It consists of OSA members and is convened at least once a year in the first half of the calendar year after conclusion of economic results for the previous year.
**General Meeting competence**
The General Meeting approves the business results for the previous year and annual financial statements, approves fundamental documents of OSA and their amendments (Statutes, distribution order – rules for distribution of royalty fees etc.), decides on the use of the economic result, votes and removes its representatives in the Supervisory Board or decides on issues related to members. Powers of the General Meeting are specified by OSA Statutes, which are available on OSA website.
**Decision-making of the General Meeting**
OSA members (membership conditions are specified in detail in the OSA Statutes) or other persons invited by the Board of Directors or the Supervisory Board can participate in the General Meeting. Only one person can participate on behalf of a member who is a legal person. The General Meeting is quorate if at least 10% of members and at the same time 10% of members from every profession are present (i.e. composers, lyricists and publishers). If not enough members meet so that the General Meeting is quorate within 30 minutes from the moment for which the General Meeting was convened, the General Meeting is quorate provided that each profession group is represented. Every member has one vote. The right to vote has to be exercised by every member personally, except for legal persons.
The Statutes and the distribution order are approved separately in individual profession groups (every profession approves its decisions by a two-thirds majority), while changes in these documents become effective only if the choice of all three profession groups is accordant. The General Meeting follows the Code of Procedure and minutes of its session are taken.
The General Meeting of OSA members took place in the conference room of Elephant Hotel on 19 May 2016. Because the three-year mandate of all members of the Supervisory Board expired in 2016, the elections of a new Supervisory Board for the new three-year period were held here.
4.2. Supervisory Board
Supervisory Board members
The Supervisory Board is the management and control body of OSA. It consists of 13 members – 6 composers, 3 lyricists and 4 publishers. The members of the Supervisory Board are elected at the General Meeting for the period of 3 years and every profession group votes its representatives into the Supervisory Board separately by a secret vote. Two substitutes are elected for every profession group. The Supervisory Board elects a chairman and two vice-chairmen from its members. The chairman is elected from the profession group of composers, one vice-chairman from the group of lyricists and one from the group of publishers. If there is a need to remove the entire Supervisory Board, the General Meeting decides on such measure in a plenary session. If there is a need of to remove a member of the Supervisory Board, the profession from which he or she was elected decides on the removal in a secret vote. The Supervisory Board is responsible for its actions to the General Assembly.
Supervisory Board competence
The competence of the Supervisory Board covers, in particular, the election and removal of the chairman and the members of the Board of Directors and control of their activities, establishment and cancellation of OSA professional committees and their control, discussing the proposals of tables of tariff of royalty fees, deciding on the percentage amounts of overhead deductions, deciding on the percentage amount of deductions to the reserve fund and using the funds from it, discussing and approving fundamental questions of OSA procedures during its activities and principals of contractual relations for individual types of use, determination of OSA’s economic goals for the next year, discussing the quarterly economic report or approval of an auditor for the yearly financial statements. The powers of the Supervisory Board are specified by OSA Statutes, which are available at www.osa.cz.
Decision-making of the Supervisory Board
The Supervisory Board is quorate if an absolute majority of its members is present. However, every profession must be represented by at least one member. The Supervisory Board decides by a simple majority of votes of the present members. Where votes are ties, the vote of the chairman counts as two votes. If the Supervisory Board members from the composer profession present at the meeting of the Supervisory Board have the same opinion unequivocally, they cannot be voted down by the other present members of the Supervisory Board. The Supervisory Board follows a Code of Procedure and minutes of its session are taken.
In 2016, 12 sessions of the Supervisory Board were held. Three members of the Board of Directors are also present at the Supervisory Board sessions. Because the mandate of the Supervisory Board expired in 2016, a new Supervisory Board was elected for the next three-year period at the General Meeting which took place on 19 May 2016. There were in total four changes in its composition. New representatives of composers are Jan Hála and Lukáš Matoušek; Jan Krúta is a new representative of lyricists and Schubert Music Publishing s. r. o. is a new representative of publishers.
Supervisory Board members as of 31 December 2016
| Position | Name | Profession |
|-------------------|-------------------------------------------|------------------|
| Chairman | Luboš Andrlík | Composer |
| Vice-chairmen | Michael Prostějovský | Lyricist |
| | Universal Music Publishing, s.r.o. - Jolana Zemanová | Publisher |
| Members | Jan Hála | Composer |
| | Martin Kostochel | Composer |
| | Eduard Krečmar | Lyricist |
| | Jan Krúta | Lyricist |
| | Ivan Kurz | Composer |
| | Lukáš Matoušek | Composer |
| | Zdeněk Nedvěd | Publisher |
| | Michal Prokop | Composer |
| | Provok Music Publishing, s.r.o. - Jiří Paoli | Publisher |
| | Schubert Music Publishing, s.r.o. - Jitna Petrová | Publisher |
| Substitutes | A-TEMPO VERLAG, s.r.o. - Petr Bělohlávek | Publisher / 1st substitute |
| | Roman Cejnar | Composer / 1st substitute |
| | Český rozhlas - Radim Kolek | Publisher / 2nd substitute |
| | Petr Kočfelda | Lyricist / 1st substitute |
| | Jan Rotter | Composer / 2nd substitute |
| | Václav Sevčík | Lyricist / 2nd substitute |
Professional Committees elected by the Supervisory Board as of 31 December 2016
**Economic Committee**
It prepares materials, data and proposals of solutions for decisions of the Supervisory Board in the area of OSA management. It monitors tariff levels abroad, economic effects of tariff rates, discusses changes of royalty tariffs and the rate of royalties for new ways of using the works. It also took over the work of the Committee for Relations with Represented Persons and for Social Issues that was abolished in 2013. Its competence covers e.g. dealing with issues of represented persons, distribution and administration of funds from the solidarity fund allocated by the Supervisory Board (pursuant to Article 2(d) of the OSA Cultural and Social Fund Statutes) or decisions on approving contributions and support, amount and pay date thereof. All profession groups must be represented in the Committee.
| chairman | Jolana Zemanová |
|----------|----------------|
| members | Tomáš Doležal, Eduard Kvačmar, Jiří Paulů |
**Distribution Committee**
It prepares particularly the proposals of changes in the distribution order, checks all distribution mechanisms, monitors distribution orders of author organizations abroad (preferentially in EU countries), analyzes impacts of the distribution order on the relationships among the represented persons, deals with problems of administrative deductions together with the Economic Committee. All professions must be represented in the Committee.
| chairman | rotation principle |
|----------|--------------------|
| members | Martin Kratochvíl, Jiřina Petrová, Michael Prost@ováky, Miroslav Pudák |
**Committee for Creativity Affairs**
In particular, the Committee categorizes reported works to relevant categories in accordance with Annex 1 to the valid distribution order (points chart), comments on disputes of authorship from the creative point of view, assesses the degree of works adaptation and arrangement, deals with authorship disputes of the represented persons, identifies possible plagiarism.
| chairman | Emil Viklický |
|----------|--------------|
| members | Juraj Filak, Lukáš Hurník, Ivana Loudová, Lukáš Matoušek, Vladimír Popelka, Boris Urbánek |
**Partnership Committee**
It was established by the Supervisory Board in 2010 and it pursues fulfillment of the OSA Partnership project. The Committee is entitled to decide to award OSA partnership in the implementation on the basis of a written request of the implementer of a specific project. Furthermore, it looks for potential applicants/promoters from individual areas and informs them of the possibilities of partnership. The Committee enters coordination negotiations with the OSA Board of Directors to reach mutual agreement on strategy and coverage of the spectrum of cultural events within the frame of fulfillment of the Partnership project. All profession groups must be represented in the Committee.
| chairman | Ivan Kurz |
|----------|-----------|
| members | Jiří Gromot, Karel Holes, Radim Kolek, Martin Němec, Milan Svoboda, Jaroslav Špringi |
**AUTOR IN editorial board**
Together with the magazine editors, it prepares the contents of individual issues and it sees to the balance of published topics with regard to individual profession groups represented by OSA.
| chairman | rotation principle |
|----------|--------------------|
| members | Jan Fischer, Jan Krůta, Zdeněk Nedvěd, Michal Prokop |
Committee for OSA Annual Awards
A non-permanent committee which focuses on preparation of OSA Annual Awards and other annual events.
| chairman | Michal Prokop |
|----------|---------------|
| members | Lukáš Matoušek, Michael Prostějovský, Jolana Zemanová |
4.3. Board of Directors
Board of Directors members
The Board of Directors is a statutory and executive body of OSA. It has three members and it consists of the chairman and two members. The Board of Directors is elected and removed by the Supervisory Board. It is responsible for its activities to the General Assembly and to the Supervisory Board.
Board of Directors competence
The Board of Directors particularly controls and manages the company activities, exercises employer’s rights, participates in sessions of the Supervisory Board and General Assembly and implements their decisions. Further, it presents the Supervisory Board with a quarterly economic report, financial statements for the previous year and a financial plan for the next year, approves tables of tariffs of royalties, implements organizational changes and concludes and terminates contracts with other collective rights managers and important users. The powers of the Board of Directors are specified by OSA Statutes, which are available at www.osa.cz.
Decision-making of the Board of Directors
The Board of Directors represents OSA externally. The chairman of the Board and one other member always act jointly on behalf of OSA. The Board of Directors follows a Code of Procedure and minutes are taken of its sessions. If a decision of the Board of Directors is not unanimous, the names of opposing voters or those who abstained are stated in the minutes.
Members of the Board of Directors as of 31 December 2016
| chairman | Roman Střežek |
|----------|---------------|
| members | Jiřina Barelo, Luboš Tesař |
In 2016, OSA distributed royalties in the amount of CZK 787,894,000 to 138,338 domestic and foreign copyright holders for 546,022 musical pieces.
05 Organizational structure as of 31 December 2016
We can state that every Czech household spent CZK 19.74 each month on music copyrights in 2016.
| General Meeting | Members |
|-----------------|---------|
| Supervisory Board | Professional Committees |
| Board of Directors |
**Communication, Economy and Administration Section**
- Economic Department
- Secretariat
- Controlling Department
- Project Management Department
- Legal and HR Department
- PR and Communication Department
**Distribution and IT Section**
- Financial Accounting Department
- Payroll Department
- Royalty Distribution Department
- Economic Administration Department
- Claims Department
- IT Department
- Monitoring Department
- Distribution Department
**Licensing Section**
- Public Performances Department
- Broadcasting, Online Media and Mechanics Department
- Licensing Support Department
- Synchronization and Theatre Performances Department
- Customer Center Prague
- Customer Center Havlíčkův Brod
- Contact Point for Bohemia
- Contact Point for Moravia
- Control Department
Inspired by the composition
Apokalypsa
v Kamenické stráni
Milos Rok
© 2014, Milos Rok
Copyrights are reflected in the end prices for customers in various sectors of the economy. With regard to the collection of royalties by OSA in terms of macroeconomic indicators, we can state that every Czech household spent CZK 19.74 including the 21% VAT each month on music copyrights in 2016. If we look at the average expense from the perspective of economically active inhabitants of the Czech Republic in productive age, i.e. aged between 20 and 64 years, then each such individual spent on average CZK 17.59 including the 21% VAT on music copyrights each month.
For comparison: an undiscounted 30 minute public transport ticket on weekdays cost CZK 24 in Prague and CZK 20 in Ostrava. In 2016, the average price of one liter of Natural 95 gasoline was CZK 28.63 and one liter of diesel cost CZK 27.43 on average. For example, the average price of bottled beer with water content between 7.00-10.00% (formerly the 10 degree beer) in retail establishments amounted to CZK 11.23 in 2016. In 2016 the minimum wage was CZK 9,900 which equals to an hourly rate of CZK 58.70 for the working time of 40 hours a week. Employees with minimum wages had to work 18 minutes each month to cover the average copyright expense. The average wage for the whole year of 2016 amounted to CZK 27,589. Employees with average wages had to work approximately 6 minutes and 26 seconds each month to cover music copyrights.
**How many musical pieces did an author have to sell or have viewed or replayed in 2016 to receive a royalty amounting to the minimum monthly wage of CZK 9,900? Two authors composing one musical piece are considered (author of lyrics and author of music). In 2016 the authors had to sell 21,637 music media each month in order for the royalty to amount to the minimum wage of CZK 9,900 (calculated assuming that the author has 1 musical piece on a CD containing 12 musical pieces). As concerns streaming, a musical piece would need 1,037,303 views per month. In case of music downloading a musical piece would require 11,460 downloads. The musical piece would require 4,994 replays (calculated using the average amount collected from individual stations) on private national and regional stations including Český rozhlas. If the musical piece has more than two authors, these numbers must be adjusted according to the number of authors.**
With its year-on-year GDP increase by 2.3%, growth rates of the Czech economy slowed down by half in 2016. The economy relied mainly on the growing final consumption household expenditure (particularly the growing purchases of durable goods) and foreign demand (influenced by the positive economic development of the closest business partners; in terms of economic development, 2016 was a successful year for most of the European countries). The deceleration in growth was caused particularly by the high
relative basis of 2015 which reflected the non-recurring growth factors that did not occur again in 2016. The factors included mainly the investment activity which did not contribute to the growth throughout the last year unlike in 2015 when European funds had been absorbed. Economic growth was experienced throughout the national economy with the exception of the construction sector. On the supply side, the processing industry was once again the greatest driver of the Czech economy, traditionally dominated by the production of motor vehicles (the record number of motor vehicles manufactured in the Czech Republic was once again broken). Other successful areas included real estate and particularly agriculture, forestry and fishing whose strong growth was aided by very good harvest. E.g. the contribution of trade, transport, accommodation and hotels and restaurants amounted to 0.2% of the gross added value (which grew by 2.1% in 2016). Export figures of 2016 were at a record high too. The export of motor vehicles, accounting to 27.8% of exports from the Czech Republic, was most successful. According to the updated data of the year before last, i.e. 2015, the standard of living measured by GDP per capita amounted to 87% of the average of EU countries (i.e. the Czech GDP per capita was the fifteenth highest of the 28 member states).
The strong appetite for purchase relied on low consumer prices, low unemployment level, high share of available workforce, growing wages as well as low interest rates and easily available loans. The average wage amounted to CZK 27,589 in 2016 which means a year-on-year increase by CZK 1,123 (4.2%). When we take into account the consumer prices which increased by 0.7% over the period concerned (the highest figure in the last 3 years), the real wage increased year-on-year by 3.5%. Also the situation on the labor market further improved. For the first time in the history of the Czech Republic, the number of workers exceeded the level of 5.3 million at the end of the year. The share of those employed (aged between 15 and 64) reached 72.9% in December 2016 (a year-on-year increase by 2.1%). The rate of unemployment continued to be the lowest among the EU states (even though over the year, unemployment decreased in 90% of the EU states). The share of those unemployed was 5.2% at the end of the year (a year-on-year decrease by 1%) and 3.6% in the group of those aged between 15 and 64 (a year-on-year decrease by 0.9%). The number of unemployed persons registered with employment agencies decreased to 381,373 job applicants in December (a year-on-year decrease by 71,745 job applicants). Development of inflation in 2016 was affected particularly by the increase in prices of tobacco products and spirits (by 4.4%) and the increase in prices of rent and other services relating to housing (by 0.6%). The increased inflation was influenced also by the increase in prices of clothing and footwear (by 1.8%), recreation and culture (by 1.4%) or catering and accommodation (by 1.5%). On the other hand, the decrease in prices of fuels (by 8.7%) and the decrease in prices of food and soft drinks (by 0.9%) had the opposite effect (i.e. decrease in prices). Retail sales, net of cars, increased by 5.6% in 2016. The sales of service providers increased by 1.2% last year. In this sector – like in the previous year – people spent most money on catering and accommodation. In the sector of catering and hotels and restaurants increased year-on-year by 5.7% and by 4.4% in the accommodation sector. Sales were increased also in the sector of program creation and broadcasting, publishing activities and film and music industry.
According to economists’ forecasts, the domestic economy will accelerate its growth rate to 2.5-2.7% in 2016. It will be still supported by the growing private consumption and after the last year’s interruption, it should be revived by investment activities of the government and businesses. On the contrary, the industrial production and partially the foreign trade are expected to experience a decline compared to 2016. The situation on the labor market will probably continue to improve as the unemployment rate will further decrease and the wages will increase. Average inflation might rise to 2%.
At the beginning of April, the ever greater deflation pressure made the Czech National Bank terminate its exchange commitment (foreign exchange interventions aimed at maintaining the exchange rate of the Czech crown around 27 EUR/CZK and reaching the 2% inflation goal) published in November 2013. Risks of 2017 include e.g. uncertainty regarding the foreign demand development to which the open Czech economy is more sensitive than other member states of the EU. The space for further decrease of unemployment has also started reaching its limits.
Sources: Czech Statistical Office, investirweb.cz, ceskonevyc.cz, Employment Agency of the Czech Republic.
Inspired by the composition
Janač zpráva
Petr Janda
OSA annual report on activity and economic result for 2016
In 2016, OSA collected CZK 1,007,329,000
### 7.1. Main economic indicators
| Main economic indicators | 2012 | 2013 | 2014 | 2015 | 2016 | Diff. 2016/2015 |
|--------------------------|--------|--------|--------|--------|--------|-----------------|
| Total royalties collected | 878,721 | 868,861 | 900,148 | 914,984 | 1,007,329 | +92,345 |
| Total costs | 153,407 | 146,376 | 139,888 | 134,699 | 142,407 | +7,708 |
| Distributed royalties incl. other domestic collective rights managers | 720,392 | 740,574 | 777,592 | 748,149 | 855,124 | +106,975 |
| Average overheads in % | 17.40% | 17.14% | 15.54% | 14.72% | 14.14% | -0.58% |
* in CZK '000 net of VAT
** costs referred to herein are net of income tax
### 7.2. Royalties collected in 2016
| Royalties collected for licenses | 995,765 |
|----------------------------------|---------|
| Other royalties collected | 11,564 |
| **Total royalties collected** | **1,007,329** |
2016/2015 comparison (in %) +10.09%
2016/2015 comparison (in CZK) +92,345
* in CZK '000 net of VAT
OSA’s amount of collected royalties surpassed historical records for the third successive year. In 2016, OSA increased its total royalties collected by 10.09% year-on-year, thereby for the first time – including the royalties collected on the basis of authorization for other collective rights managers – exceeding the magic level of one billion crowns. OSA generated a year-on-year increase in the royalties collected by CZK 92,345 thousand. It is particularly positive that royalties collected for license activities for OSA (i.e. without including the royalties collected for other domestic collective rights managers and without other royalties collected) increased by additional six tenths of a percent than the aforementioned total royalties collected, thereby exceeding the level of CZK 900 million by more than 18 million, where these royalties – applicable only to music authors – collected by OSA had exceeded the level of CZK 800 million for the first time only in the previous year. In numbers it means that compared to 2015, OSA collected additional CZK 88,464 thousand for music authors and additional CZK 3,955 thousand for other collective rights managers. It should be mentioned that in 2016, thanks to the repeated decrease in overheads to 14.14%, OSA achieved the most effective result so far since 1994, from when this indicator has been monitored.
The increase of royalties collected for licensing of public music performances, i.e. both live music productions where the royalties collected increased year-on-year by CZK 35,645 thousand, and recorded music (including jukeboxes) where the increase amounted to CZK 28,806 thousand (including royalties collected for other collective rights managers), contributed to most to these excellent results. Year-on-year, royalties collected for radio broadcasting or central media licensing also performed very well, increasing by CZK 15,672 thousand. The increase of royalties collected for synchronization and theater performances – agency was the smallest, but still amounted to CZK 1,496 thousand.
well. On the contrary, a slightly worse result was achieved in the area of royalties collected in 2016 for broadcasting transmission which had, nevertheless, experienced the highest jump ever in the previous period.
The repeated year-on-year increase – like in 2015 – in the overall results of broadcasting and online media, mechanics (without audiovision), royalties collected from abroad and finally the agency activity contributed positively to OSA’s record amount of royalties collected in 2016. The final structure of royalties collected for licenses was the following in 2016: public performances 40.5% (37.0% in 2015), broadcasting and online media 39.3% (41.6%), mechanics and audiovision 13.4% (14.3%), from abroad 6.2% (6.6%) and agenda of synchronization and theatre performances (agency) 0.6% (0.5%).
* Amounts collected are specified net of VAT
| Structure of royalties collected for licenses | 2012 | 2013 | 2014 | 2015 | 2016 | Diff. 2016/2015 |
|---------------------------------------------|--------|--------|--------|--------|--------|-----------------|
| Public performances | 287,841| 277,189| 304,524| 293,313| 358,561| 65,248 |
| Broadcasting and online media | 331,786| 340,886| 336,452| 375,443| 391,115| 15,672 |
| Mechanics and audiovision | 93,156 | 94,579 | 91,697 | 96,256 | 100,580| 4,324 |
| From abroad | 62,917 | 59,977 | 56,891 | 59,982 | 61,706 | 1,724 |
| Synchronization and theatre performances | 2,748 | 3,489 | 3,624 | 4,827 | 6,323 | 1,496 |
| **Total for OSA and foreign copyright holders** | **778,448** | **776,120** | **792,988** | **829,821** | **918,285** | **88,464** |
| Royalties collected for other domestic collective rights managers | 88,118 | 75,669 | 95,673 | 73,525 | 77,480 | 3,955 |
| **Total incl. other domestic collective rights managers** | **866,566** | **851,789** | **888,661** | **903,346** | **995,765** | **92,419** |
* in 000 CZK net of VAT
7.3. Public performances in 2016
The segment of public performances surpassed its historically best result achieved in 2014. Following the last year’s decrease, royalties collected for public music performances amounted in total to CZK 402,804 thousand (including the royalties collected for other collective rights managers) which means a considerable year-on-year increase by 21% surpassing the previous period by CZK 68,598 thousand (including the royalties collected for other collective rights managers).
Royalties collected for live music productions showing a long-term growing trend claims credit for this success. In 2016, we collected an amount higher by 33%, i.e. by CZK 35,645 thousand, for authors represented by OSA compared to the previous period. The increased collection of royalties for public performances was – unlike in 2015 – supported by the 13% increase in the royalties collected for recorded music (including jukeboxes), i.e. a year-on-year increase by CZK 28,808 thousand (including royalties collected on the basis of authorization for other collective rights managers). In the segment of live music productions, the increase concerned particularly the royalties received for the licensing of popular music concerts to be listened or danced to, while the royalties received for licensing of classical music and jazz concerts or for advertising or some other specific uses of live music slightly fell behind the results of 2015.
As concerns recorded music, the best result was achieved in the collection of royalties for reproducing apparatus in accommodation facilities where the increase amounted to 72%, i.e. an increase by CZK 21,950 thousand (including royalties collected for other collective rights managers). The loss of royalties in 2014, when no agreement with important partners in the segment had been reached and an agreement on 2014 providing for retrospective payment was concluded only last year, had a positive effect in this respect. Development of spa cases had a positive effect too because in the light of judicial decisions, contract conditions had been subsequently accepted and settlements had been concluded with a dominant part of the spa sector in relation to the periods at issue since 2007.
Significant growth emerged also in the segment of recorded music performances in restaurants and hotels, shops and other service establishments where the royalties collected increased by 6%, i.e. CZK 7,667 thousand (including royalties collected for other collective rights managers), or in the segment of cinemas whose year-on-year increase in royalties collected by 44%, i.e. CZK 4,147 thousand (including royalties collected for other collective rights managers) was the best result of this segment ever.
* Amounts collected are specified net of VAT
### 7.4. Broadcasting, online media and mechanics in 2016
In 2016, the segment of broadcasting, online media and mechanics contributed the total amount of CZK 524,932 thousand to the royalties collected by OSA, which is almost a 53% share in the total royalties collected by OSA for licensing activity. Following the huge 10% increase in the royalties collected in this segment in 2015, royalties collected continued to grow in 2016 (even though the growth was more moderate) by 4%, i.e. CZK 20,601 thousand. The results achieved in the licensing of radio broadcasting and central media licensing had the most positive effect on the growth.
*Amounts collected are specified net of VAT*
### 7.5. Broadcasting and online media
Royalties collected in 2016 in the segment of broadcasting and online media confirmed the long-term growth trend. The total of royalties collected in the amount of CZK 391,115 thousand means a year-on-year increase by 4%, i.e. by CZK 15,672 thousand, bringing about new improvement of the historically highest royalties collected in the previous year.
This result was achieved particularly thanks to the results generated in the segment of radio broadcasting licensing where OSA collected an amount higher by 19%, i.e. CZK 12,983 thousand, than in 2015. Following the stagnation of several years when the royalties collected from radio broadcasters had not exceeding the level of CZK 70 million, royalties collected in this segment directly broke the historical maximum of 2008. An equal contribution to this increase in the royalties collected was mad by public as well as private radio stations.
Following the last-year’s 35% slump, the overall positive results in the segment of broadcasting and online media were supported by the development of royalties collected in the segment of internet which drew nearer to the level of 2014 (particularly thanks to the royalties collected for streaming with a year-on-year increase by 66%, i.e. CZK 3,538 thousand). A moderate year-on-year increase by CZK 2,937 thousand was experienced also by royalties collected in the segment of television broadcasting licensing thanks to the royalties collected for satellite broadcasting and royalties collected from local, regional, cable and other private TV stations. On the contrary, a decrease by 6%, i.e. CZK 5,519 thousand, was experienced by OSA in the segment of cable and satellite transmission.
*Amounts collected are specified net of VAT*
The segment of central media licensing with its year-on-year increase by 56%, i.e. CZK 6,662 thousand. Levies collected for blank media, recordings and equipment for recordings copying for person needs increased by 4%, i.e. CZK 2,624 thousand (net of the royalties collected for other collective rights managers), to the total amount collected of CZK 74,923 thousand (net of the royalties collected for other collective rights managers in the amount of CZK 33,237 thousand). These royalties compensate music authors for the long-term slump in royalties for the sales of physical media caused inter alia by the fact that anyone can legally and without author’s consent make a copy of their favorite album or film for personal needs. In total, the royalties collected for licensing in the area of mechanics were increased by 5%, i.e. CZK 6,463 thousand (including royalties collected for other collective rights managers).
Following the moderate increase of 2015, the segment of audiovision experienced a decrease in royalties collected by CZK 1,534 which means a year-on-year decrease by 6%. E.g. royalties collected for sales of physical audio-visual media or royalties collected for sales of films managed by the State Cinematography Fund showed a decrease.
* Amounts collected are specified net of VAT
### Mechanics and audiovision
| Segment | 2012 | 2013 | 2014 | 2015 | 2016 | Diff. 2016/2015 |
|--------------------------------|--------|--------|--------|--------|--------|-----------------|
| Mechanics and audiovision | 32,498 | 27,457 | 18,955 | 17,207 | 20,441 | 3,234 |
| Film media | 1,725 | 2,096 | 893 | 1,440 | 874 | -566 |
| Other use | 5,355 | 5,771 | 5,483 | 5,310 | 4,342 | -968 |
| Blank-media levies | 53,578 | 59,255 | 66,376 | 72,299 | 74,923 | 2,624 |
| Total for OSA and foreign copyright holders | 93,156 | 94,579 | 91,697 | 96,256 | 100,680 | 4,324 |
Collected for other domestic collective rights managers
| Segment | 2012 | 2013 | 2014 | 2015 | 2016 | Diff. 2016/2015 |
|--------------------------------|--------|--------|--------|--------|--------|-----------------|
| Collected for other domestic collective rights managers | 29,680 | 27,920 | 30,686 | 32,632 | 33,237 | 605 |
| Total incl. other domestic collective rights managers | 121,836 | 122,499 | 122,383 | 128,888 | 133,817 | 4,929 |
* in CZK 000 net of VAT
7.7. Synchronization and theatre performances in 2016
In 2016, the agency activity built on its annual trend of regular increases in the royalties collected. For this agenda, OSA collected an amount higher by CZK 1,496 thousand, i.e. 31%, than in 2015. The segment of theatre performances with its 16% increase to CZK 4,219 thousand was once again the major collection item. As concerns synchronization rights, the amount collected for licenses granted for production of audiovisual works continued to fall and reached the amount of CZK 455 thousand while the amount collected for licenses for production of radio spots considerably increased year-on-year by 182%, i.e. by CZK 1,065 thousand. Unlike in previous years, the ratio between both segments of synchronization rights changed into a quite opposite one.
* Amounts collected are specified net of VAT
| Synchronization and theatre performances | 2012 | 2013 | 2014 | 2015 | 2016 | Diff. 2016/2015 |
|----------------------------------------|------|------|------|------|------|-----------------|
| Synchronization | 1,359| 1,280| 1,183| 1,189| 2,104| 915 |
| Theatre performances | 1,389| 2,209| 2,441| 3,638| 4,219| 581 |
| Total for OSA and foreign copyright holders | 2,748| 3,489| 3,624| 4,827| 6,323| 1,496 |
* in CZK '000 net of VAT
7.8. Royalties collected abroad in 2016
For the second year in row, OSA showed a moderate year-on-year increase in the royalties collected from abroad which were collected for our authors by partner foreign companies. For the use of compositions of copyright holders represented by OSA abroad, foreign collective rights managers sent OSA the total amount of CZK 61,706 thousand in 2016. Compared to 2015, the royalties collected abroad increased by CZK 1,724 thousand, i.e. 3%, and reached the highest amount in the past four years. Like in the previous years, the conversion of royalties collected abroad to Czech crowns was positively influenced by the exchange rate between Czech crown and other currencies in 2016. The growth in royalties from abroad probably also reflects the accelerated distribution of royalties by our key partner companies abroad in the light of the directive regarding collective rights management. OSA experienced the greatest drop of the royalties collected in Poland, Germany and Hungary. On the contrary, royalties collected from France, Belgium and Slovakia experienced the greatest increase.
* Amounts collected are specified net of VAT
| Development of royalties collected abroad | 2012 | 2013 | 2014 | 2015 | 2016 | Diff. 2016/2015 |
|------------------------------------------|------|------|------|------|------|-----------------|
| Total for OSA | 62,917| 59,977| 56,691| 59,882| 61,706| 1,724 |
* in CZK '000 net of VAT
### 7.9. Royalties distributed in 2016
The amount of royalties distributed to the domestic copyright holders increased for the fourth year in row. In 2016, OSA distributed a new historically highest amount of CZK 787,896 thousand to the domestic music authors and publishers - CZK 338,017 thousand to authors and CZK 240,979 thousand to publishers. On the basis of reciprocal and unilateral agreements with foreign collective rights managers, the amount of CZK 208,898 thousand was distributed to foreign copyright holders. In the aggregate, not including the royalties collected for other domestic collective rights holders, OSA distributed the amount of CZK 787,894 thousand to the domestic and foreign copyright holders for the rights administered by OSA and by this result, OSA beat the historically highest distributed amount of 2015 by considerable CZK 103,495 thousand. The total amount of royalties distributed in 2016, including royalties for other collective rights managers, was CZK 855,124 thousand, i.e. higher by CZK 106,875 thousand than in the last reference period. By this amount, OSA beat its historical maximum.
| Distributed royalties | 2012 | 2013 | 2014 | 2015 | 2016 | Difference 2016/2015 |
|-----------------------|--------|--------|--------|--------|--------|----------------------|
| Authors | 250,505| 277,598| 286,137| 288,957| 338,017| 49,060 |
| Publishers | 205,353| 212,248| 211,707| 212,046| 240,979| 28,933 |
| Total for domestic represented entities | 455,858| 489,846| 497,844| 501,003| 578,996| 77,993 |
| Abroad | 176,416| 175,034| 184,075| 183,396| 208,898| 25,502 |
| **Total for domestic and foreign copyright holders** | **632,274** | **664,880** | **681,919** | **684,399** | **787,894** | **103,495** |
| Distributed for other collective rights managers | 88,118 | 75,694 | 95,673 | 63,750 | 67,230 | 3,480 |
| **Total incl. other domestic collective rights managers** | **720,392** | **740,574** | **777,592** | **748,149** | **855,124** | **106,875** |
* in CZK '000 net of VAT
7.10. Represented entities and OSA members in 2016
As of 31 December 2016, OSA represented 9,159 copyright holders – 5,831 living authors, 3,211 inheritors and 117 publishers. We accepted 336 new authors and 3 new publishers for representation during the year. The structure of members was the following: 408 composers, 92 lyricists, 25 publishers and 53 inheritors. Sixteen members passed away during the year. Nineteen new members were accepted (effective from 1 January 2017).
7.11. OSA international activities in 2016
Individual employees attended regular international committees and seminars held by CISAC, BIEM and GESAC organizations. In addition, OSA employees are members of permanent GESAC and CISAC working groups.
7.12. Costs of OSA activity in 2016
In 2016, the total costs of OSA activity amounted to CZK 142,407 thousand, which means a year-on-year growth by almost 6%, i.e. CZK 7,708 thousand, after the two-year decline. Nevertheless, the cost increase inevitably corresponded to the simultaneous jump in the royalties collected for licensing activity which, on the contrary, increased year-on-year by more than 10%, i.e. CZK 92,419 thousand. Hence the growth in royalties collected was faster that the growth in costs. The fact that real savings were actually higher than in 2015 is proven inter alia by the figure of royalties collected for the licensing activity per CZK 1 of the costs spent. While in 2015, the amount of CZK 6.71 for licenses granted was collected per each crown of the costs spent, the figure rose to CZK 6.99 in 2016. The calculated average overheads of 14.14% were – after another year – the lowest from 1994 since when this indicator has been monitored. If we subtract the costs spent within Partnerství project, OSA reached the average overheads of 13.71% in 2016. As of 31 December 2016, OSA employed 153 persons (main employments and agreements to perform work).
| OSA costs | 2012 | 2013 | 2014 | 2015 | 2016 | Diff. 2016/2015 |
|-----------|------|------|------|------|------|-----------------|
| Total costs | 153,407 | 146,376 | 139,888 | 134,699 | 142,407 | 7,708 |
* in CZK '000 net of VAT
Inspired by the composition
Ty a já
Richard Krajicek
8.1. Royalties distribution
8.1.1. Distributed royalties for music rights
| Development of royalties distributed | 2012 | 2013 | 2014 | 2015 | 2016 | Difference 2016/2015 |
|-------------------------------------|--------|--------|--------|--------|--------|----------------------|
| Total distributed | 632,274| 664,880| 681,919| 684,399| 787,894| 103,495 |
* exclusive of royalties for other domestic collective rights managers
* in CZK '000 net of VAT
### Number of authors and publishers whom royalties were distributed
| Development of authors and publishers whom royalties were distributed | 2012 | 2013 | 2014 | 2015 | 2016 | Difference 2016/2015 |
|-----------------------------------------------------------------------|------|------|------|------|------|---------------------|
| Domestic | 5,323| 5,726| 5,945| 6,199| 6,415| 216 |
| Foreign | 104,603| 114,747| 113,317| 116,113| 131,923| 15,810 |
| **Total** | **109,926**| **120,473**| **119,262**| **122,312**| **138,338**| **16,026** |
### Number of musical pieces for which royalties were distributed
| Development of musical pieces for which royalties were distributed | 2012 | 2013 | 2014 | 2015 | 2016 | Difference 2016/2015 |
|---------------------------------------------------------------------|------|------|------|------|------|---------------------|
| **Total** | **367,671**| **400,867**| **416,375**| **441,355**| **546,022**| **104,667** |
8.1.2. Average annual royalty
The number of authors and musical pieces represented by OSA has been growing faster than the collection of royalties. More authors and publishers share the same amount of collected royalties.
Comparison of five-year development 2012—2016
| | 2012 | 2016 |
|--------------------------------|--------|--------|
| Number of authors and publishers in distribution | + 28,412 | + 26% |
| Number of distributed musical pieces | + 178,351 | + 49% |
| Royalties collected for licenses** | + 139,837 (in CZK '000) | + 18% |
* referential year = 100%
** royalties collected for licenses without other domestic collective rights managers and other collected royalties / in CZK '000 net of VAT
8.2. Payment of royalties
We pay royalties to domestic and foreign copyright holders regularly on four pay dates — March, June, September and December and we have been able to significantly shorten the period between use of a musical piece and settlement thereof. Since 2010 when the quarterly settlement was introduced, our company has been setting the trend in the speed of royalty settlement. We are one of the fastest in international comparison in this regard.
When can you expect to receive payment for use of a musical piece?
Royalties are paid four times a year.
| | March | June | September | December |
|--------------------------------|-----------|-----------|-----------|----------|
| Where was the musical piece used? | | | | |
| Public performances** | Q4 | Q1 | Q2 | Q3 |
| Television | September-November | September-November | March-May | June-August |
| Radio | Q4 | Q1 | Q2 | Q3 |
| Internet | Q4 | Q1 | Q2 | Q3 |
| Carriers | Q4 | Q1 | Q2 | Q3 |
* The table contains information valid for most of the uses included in the mentioned segments, however, certain other uses may require different settlement periods.
** The pay date for public performances may not correspond to the stated calendar quarter of use of the musical piece. It rather means the deadline for payment for the use in the relevant quarter.
## 8.3. Royalties distributed abroad in 2016
### Largest foreign recipients of royalties collected in the Czech Republic
| Country | In CZK '000* | Share in % |
|------------------|--------------|------------|
| USA | 67,072 | 29.92% |
| Great Britain | 41,148 | 18.36% |
| Germany | 35,274 | 15.74% |
| France | 21,506 | 9.59% |
| Slovakia | 15,777 | 7.04% |
| Italy | 11,272 | 5.03% |
| Austria | 5,108 | 2.28% |
| Australia | 4,651 | 2.07% |
| Canada | 4,554 | 2.03% |
| Sweden | 3,174 | 1.42% |
| Others** | 14,028 | 6.52% |
| **Total** | **224,164** | **100.00%**|
* before deductions for social and cultural purposes
** Others – Albania, Argentina, Barbados, Belgium, Benin, Bosnia and Herzegovina, Brazil, Bulgaria, Burkina Faso, China, Chile, Colombia, Congo, Croatia, Cuba, Denmark, Egypt, Estonia, Finland, French Polynesia, Ghana, Georgia, Greece, Guinea, Hong Kong, Hungary, India, Indonesia, Ireland, Iceland, Israel, Jamaica, Japan, Kazakhstan, Kenya, Latvia, Lithuania, Madagascar, Macedonia, Malaysia, Mauritius, Mexico, Montenegro, Nepal, Peru, Philippines, Poland, Portugal, Russia, Senegal, Singapore, Slovenia, South Africa, South Korea, Spain, Switzerland, Taiwan, Tanzania, Trinidad and Tobago, Turkey, Ukraine, Uruguay, Venezuela, Vietnam, Zimbabwe, incl. other territories administered by foreign partner collective rights managers located in the said territories.
### Complete overview of foreign partner collective rights managers which received royalties from us in 2016 for copyright holders represented by them:
| Society | State |
|-----------|---------|
| ABF/AMUS | Brazil |
| ACAM | Costa Rica |
| ACUM | Israel |
| AEPI | Greece |
| AGADU | Uruguay |
| AKKAI/LAA | Latvia |
| AKM | Austria |
| AMCOS | Australia |
| AMRA | USA |
| APRIA | Australia |
| ARTISJUS | Hungary |
| ASCAP | USA |
| AUJME | Austria |
| BBDA | Burkina Faso |
| BCIDA | Congo |
| BGDA | Guinea |
| BMI | USA |
| BISDA | Senegal |
| BUBEDRA | Benin |
| BUMA | Netherlands |
| BUMDA | Mali |
| CASH | Hongkong |
| COMPASS | Singapore |
| COSCAP | Barbados |
| COSGA | Ghana |
| COGON | Nigeria |
| COSOTA | Tanzania |
| EAU | Estonia |
| GEMA | Germany |
| HARRY FOX | USA |
| HDS-ZAMP | Croatia |
| IMRO | Ireland |
| IPRS | India |
| JACAP | Jamaica |
| JASRAC | Japan |
| KCI | Indonesia |
| KODA | Denmark |
| KOMCA | Korea |
| LATGA | Lithuania |
| MCPS | Great Britain |
| MCSC | China |
| MCSK | Kenya |
| MUSICAUTOR| Bulgaria |
| NCB | Scandinavia |
| OMDA | Madagascar |
| PRS | Madagascar |
| RAO | Russia |
| SABAM | Belgium |
| SACEM | France |
| SACERAU | Egypt |
| SACM | Mexico |
| SACVEN | Venezuela |
| SADAC | Argentina |
| SAMRO | South Africa |
| SAYCO | Colombia |
| SAZAS | Slovenia |
| SEBCEM | Brazil |
| SCO | Chile |
| SESAC | USA |
| SGAE | Spain |
| SIAE | Italy |
| SOCAN | Canada |
| SOCCINPRO | Brazil |
| SODRAC | Canada |
| SOKOJ | Serbia |
| SOZA | Slovakia |
| SPA | Portugal |
| SPACEM | Fr. Polynesia |
| STEF | Iceland |
| STEMRA | Netherlands |
| STIM | Sweden |
| SUISA | Switzerland |
| TEOSTO | Finland |
| TONO | Norway |
| UBC | Brazil |
| UCMIRODA | Romania |
| UPRS | Uganda |
| VCPMC | Vietnam |
| ZAIKS | Poland |
| ZAMCOPS | Zambia |
| ZAMP | Makaronia |
| ZIMRA | Zimbabwe |
9.1. OSA agency
In addition to the main activity of a collective rights manager, OSA also performs a secondary agency activity based on the relevant trade license. It primarily involves granting of licenses to use musical pieces in the production of advertising spots and audiovisual works (the so called synchronization rights) and to use musical pieces used in theatre performances. Such licenses are granted based on individual authorization from individual copyright holders. The obtained status of an agency favors new European trends which enable arrangement of conditions for authors based on individual market approach.
9.2. MusicJet
MusicJet is a Czech service designed primarily for music streaming, but also works as a digital music store. It is a joint project of major domestic publishers (Universal Music, Supraphon), OSA (holding 5% of shares) and the majority owner of BaldBrothers. MusicJet is the largest Czech digital archive of music with both domestic and foreign catalogues of the most important publishers in the Czech Republic, as well as smaller independent domestic and foreign labels.
It is a music application, library, browser, player and music e-shop designated for a wide user base. The user has access to millions of songs, hot news, but also e.g. the Beatles. For a monthly fee, MusicJet lets you listen to an unlimited number of tracks directly in your web browser on your PC, tablet and mobile phone without necessity to download to your hard drive. The user may select random interprets and albums, or he may create personal playlists. With a mobile app, songs can be listened to in both online and offline mode. In addition to streaming, it is also possible to buy and download tracks in various formats. The MusicJet music service was launched in September 2011 as the first offer of its kind on the Czech market.
> www.musicjet.cz
Legal risks to which the area of copyrights is exposed in a wider context lie in several controversial moments. Unclear interpretation of the copyright act in the absolutely critical areas significantly contributes to the non-licensing of certain types of use or to the reduction of collected royalties and increased costs due to resolution of conflicts through agents or courts. Vague legal background for the use of works protected by copyright on the internet also poses a big problem. Unfortunately, the amendment to the copyright act will probably not change the described situation as despite the collective rights managers’ warnings, the draft amendment contains provisions with unclear interpretation and those that might cause considerable problems in the performance of collective rights management. Other factors contributing to the high degree of legal uncertainty in the sphere of our interest include special initiatives whose task is to suppress the rights of authors. In this respect, not only the relevant users of works but also some representatives of the legislative power who submit initiatives restricting authors’ rights are active.
**Main tasks of OSA legal department in 2016**
Participation of OSA lawyers in the preparation of an amendment to the copyright act transposing the collective rights management directive 2014/26/EU, raising objections to proposals and preparation for the amendment implementation in OSA’s practice were the important tasks of OSA lawyers in 2016.
Last year, OSA lawyers participated in some disputes of major significance regarding the interpretation of the copyright act (e.g. spa facilities, legitimate royalty rates, substantiation of OSA repertoire in live performances, claims related to the use of works in broadcasting and broadcasting transmission were dealt with). They also contributed to the preparation of supporting documents for the filing of a response to the Office for the Protection of Competition in the case of increased rates for recorded music.
**Decision of the Constitutional Court**
By its decision file No. II. US 3791/15, the Constitutional Court dismissed the constitutional complaint of one of the defendants (i.e. the operator of a petrol station who equipped the station with reproducing apparatus) as clearly unfounded. On the basis of the first-instance-court decision and documents and other materials taken as evidence in the proceedings, the Constitution Court states that factual conclusions of the court of first instance cannot be considered inconsistent with the facts resulting from evidence and the court of first instance cannot be considered to have extremely interfered with the complainant’s rights. Hence OSA successfully bore the burdens of pleading and proving in the proceedings before the court of first instance and, at the same time, did not make a claim against any entity (type of operation) with respect to which this option was excluded. (Evidence included particularly inspection records and video recordings made during inspections carried out at the petrol station.)
## OSA trademarks
In accordance with Act No. 441/2003 Coll., on Trademarks, Ochranný svaz autorský pro práva k dílům hudebním, z.s. (Association for the Protection of the Rights of Music Authors and Publishers), is the owner of the below specified trademarks which are registered in the register of trademarks kept by the Industrial Property Office [www.upv.cz](http://www.upv.cz).
Only those using musical pieces from the OSA repertoire on the basis of a concluded license contract with OSA in connection with lawful production, dissemination, lease and lending of audio and audiovisual recordings are authorized to use the OSA trademark (registration No. 351649 and 309051). Other cases require OSA's consent which may be obtained at [[email protected]](mailto:[email protected]).
| Name | Registration number | Registration date | Trademark |
|-----------------------------|---------------------|-------------------|----------------------------|
| OSA | 251959 | 24.2.2003 |  |
| OSA | 296128 | 13.2.2008 |  |
| OSA | 309051 | 2.12.2009 |  |
| OSA | 351649 | 2.3.2016 |  |
| INFOSA | 309052 | 2.12.2009 |  |
| AUTOR IN | 315502 | 1.12.2010 |  |
| MYSLÍME NA HUDBU / WE THINK OF MUSIC | 351093 | 27.1.2016 |  |
| VÝROČNÍ CENY OSA / OSA ANNUAL AWARDS | 351094 | 27.1.2016 |  |
| PARTNER OSA / OSA PARTNER | 351095 | 27.1.2016 |  |
In order to ensure its activity, OSA managed the following real estate as of 31 December 2016:
| Address | Relation to real estate | Purpose of use |
|----------------------------------------------|-------------------------|---------------------------------|
| Čs. armády čp. 20, Praha 6 | the building is owned | registered office, customer centre, contact point |
| Nádražní ul. čp.387, Havlíčkův Brod, kanceláře č. 44–48 | the offices are leased | customer centre |
| Šingrovo nám. čp. 257, Brno, mistrost 303 | the room is leased | contact point |
Inspired by the composition
Jazzová mše in Es
Jiříme Hušek
As of 31 December 2016 OSA concluded 122 reciprocal or unilateral agreements with 80 foreign copyright organizations worldwide. These companies, through agreements with other collective rights managers, cover most of the world. Thanks to these contractual obligations the copyrights of domestic authors are protected worldwide and copyrights of more than one million foreign authors are protected in the Czech Republic. We offer easy legal access to a vast number of worldwide music repertoire to public users and simultaneously the domestic represented copyright holders have possibilities, through our organization, to receive royalty fees for music performed in most of the world without any demanding administration and time load which would be inevitable in the case of individual management. Our foreign partners monitor and pay for uses of which the authors do not learn.
As of 31 December 2016 OSA concluded
122 reciprocal or unilateral agreements
with 80 foreign copyright societies worldwide
| Territory | Name of copyright society |
|--------------------------------------------------------------------------|----------------------------------------------------------------|
| Albania | ALBAUTOR |
| Argentina | SADACO |
| Australia; other administered territories: Ashmore, Australian Antarctic Territory, Cartier, Cook, Coco Islands, Easter Islands, Islands, Fiji, Heard Island, Kiribati, Macquarie, McDonald Islands, Nauru, New Zealand, Niue, Norfolk, Papua New Guinea, Ross Island, Solomon Islands, Tokelau, Tuvalu, Western Samoa | AMCOS, APRA |
| Azerbaijan | AAS |
| Belgium | SABAM |
| Bosnia and Herzegovina | AMUS, SGN |
| Brazil | ABRAMUS, SBACEM, SOCINPRO, UBC |
| Bulgaria | MUSICAUTOR |
| China | MCSC |
| Denmark; other administered territories: Estonia*, Faroe, Finland*, Islands, Iceland*, Greenland, Latvia*, Lithuania*, Norway*, Sweden* | KODA (except for territories marked *), NCB |
| Estonia; other administered territories: Denmark*, Estonia*, Iceland*, Latvia*, Lithuania*, Norway*, Sweden* | EAU (except for territories marked *), NCB |
| Finland; other administered territories: Denmark*, Estonia*, Iceland*, Latvia*, Lithuania*, Norway*, Sweden* | FILSCAPI |
| France; other administered territories: Arabia, Bahrain, Benin, Burkina Faso, Chad, Caledonia, Cameroon, Central African Republic, Congo, Djibouti, Egypt, French Guiana, French Southern and Antarctic Lands, French Polynesia, Gabon, Gambia, Guinea, Guadeloupe, Iraq, Iran, Ivory Coast, Kuwait, Lebanon, Luxembourg, Madagascar, Mal, Morocco, Martinique, Mauritania, Niger, New Mayotte, Oman, Reunion, Saudi United Arab Emirates, Saint-Barthélemy, Saint Martin, Saint Peter and Miquelon, Senegal, Togo, Wallis and Futuna, Qatar | TEOSTU (except for territories marked *), NCB |
| Georgia | GCA |
| Guinea-Bissau | SGA |
| Hong Kong | CASH |
| Chile | SCD |
| Croatia | HDSZAMP |
| Ireland | IMRO |
| Island; other administered territories: Denmark*, Estonia*, Finland*, Iceland*, Lithuania*, Latvia*, Norway*, Sweden* | STEF (except for territories marked *), NCB |
| Italy; other administered territories: San Marino, Vatican, Libya, Somalia, Ethiopia | SIAE |
| Israel | ACUM, JASRAC |
| Japan | SAMRO |
| South Africa; other administered territories: Botswana, Lesotho, Swaziland | KOMCA, SOCAN, SODRAC |
| South Korea | KAZAK |
| Canada | SAYCO, ACAM |
| Kazakhstan | ACIDAM |
| Columbia | AKKA/LAA (except for territories marked *), NCB |
| Costa Rica | LATGA (except for territories marked *), NCB |
| Cuba | ARTISJUS |
| Latvia; other administered territories: Denmark*, Estonia*, Finland*, Iceland*, Lithuania*, Norway*, Sweden* | |
| Lithuania; other administered territories: Denmark*, Estonia*, Finland*, Iceland*, Latvia*, Norway*, Sweden* | |
| Hungary | |
| Country | Abbreviation |
|-------------------------------|--------------|
| Macedonia | ZAMP |
| Malaysia | MACP |
| Mexico | SACM |
| Moldavia | ASDAC |
| Germany | GEMA |
| Netherlands; other administered territories: Netherlands Antilles, Aruba, Indonesia, Surinam | BUMA, STEMRA |
| Norway; other administered territories: Denmark*, Estonia*, Finland*, Iceland*, Latvia*, Lithuania*, Sweden* | TONO (except for territories marked "I", NCB) |
| Peru | APOAYC |
| Poland | ZAIKS |
| Portugal; other administered territories: Azores, Madeira | SPA |
| Austria | AKM, AUME |
| Romania | UCMRIPADA |
| Russia | RAO, RUJ |
| Greece | AEPI |
| Slovakia | SOZA |
| Slovenia | SAZAS |
| Serbia | SOKOJ |
| Spain; other administered territories: Costa Rica, Columbia, Bolivia, Dominican Republic, Ecuador, Guatemala, Haiti, Honduras, Nicaragua, Panama, Salvador, Venezuela | SGAE |
| Sweden; other administered territories: Denmark*, Estonia*, Finland*, Iceland*, Latvia*, Lithuania*, Norway* | STIM (except for territories marked "I", NCB) |
| Switzerland; other administered territories: Liechtenstein | |
| Taiwan | SUISA |
| Trinidad and Tobago | MUST |
| Turkey | COTT |
| Ukraine | UACRR |
| Uruguay | AGADU |
| USA | AMRA, ASCAP, BMI, HARRY FOX, SESAC, MCPS, PRS |
| Great Britain; other administered territories: Anguilla, Antigua and Barbuda, Ascension, Bahamas, Barbados, Belize, Bermuda, British Antarctic Territory, British Indian Ocean Territory, British Virgin Islands, Brunei, Cayman Islands, Channel Islands, Diego Garcia, Dominica, Falkland Islands, Ghana, Gibraltar, Grenada, India, Isle of Man, Jamaica, Kenya, Cyprus, Malawi, Malta, Montserrat, Nigeria, Pitcairn Islands, Seychelles, South Georgia, South Sandwich Islands, St. Helena, St. Kitts and Nevis, St. Lucia, St. Vincent and the Grenadines, Tanzania, Tazanie, Trinidad and Tobago, Tristan da Cunha, Turks a Caicos, Uganda, Zambia, Zimbabwe | |
| Venezuela | SACVEN |
| Vietnam | VCPMC |
Inspired by the composition
Otvírání studánek
- Miloslav Bures
Bohuslav Martinů
We are an association whose main interest and mission is the area of culture and related activities. Based on this principle we consider our proactive participation in the development of culture and cultivation of cultural awareness a fundamental premise of our activity. We cannot be indifferent to the condition of culture in the Czech Republic as well as in the rest of the world because we consider ourselves a comprehensive part and simultaneously creators and participants of this culture and we are a creative factor which is also responsible for the condition of culture. By our activity we particularly express support to the language we understand very well — music.
14. Cultural activities and social responsibility
14.1. Support for culture
14.1.1. OSA Partnership project
An area where it is the easiest to take positive actions with the greatest material impact towards our vision of cultural and responsible society is the support for the Czech music scene. The ambitious Partnership project was created for this purpose in 2010. This project is designed to support authors represented by OSA and to develop culture not only in the Czech Republic. Since then more than 1,000 music projects have been supported within five programs focused on various areas of music activity.
Organizers send us requests which are evaluated once a quarter by the Partnership committee. We then conclude agreements with projects which are successful.
Some of the most important events supported events in 2016 included e.g. Bohemia Jazz Fest, Prague Proms, Avon march, Music Olomouc, Motol Motolice, Kašpárkořhani, Colours of Ostrava, Ekomplace Tour or Appolo Music Awards and Zebřík Music Awards. Many albums with current Czech music production were released (e.g. Ocean, Skety, Priesnitz, Jananas, Thom Artway, Jana Lota, Joe Karafiát etc.) or music magazines (Naše muzika, Hudební rozhledy, Rock and All).
When the committee decides which project shall be supported, it is irrelevant whether the applicant is an OSA member. Therefore, anyone who uses works of authors represented by OSA and who is interested in supporting the good name of OSA in media as well as with wide public can ask for the partnership.
In 2016 OSA Partnership was concluded with
199 music projects
> www.osa.cz/hlavni-menu-eng/partnership/partnership-of-osa
| "OSA ŽIVĚ" | support for live concerts and festivals |
| "VYROBENO S OSA" | support for releasing musical pieces and other materials with music themes |
| "PREMIÉRY OSA" | support in bringing out new works etc. |
| "OSA POMÁHÁ" | support for philanthropic and charity events |
| "OSA TALENT" | support provided particularly in the organization of creative competitions and music courses focused predominantly on young music authors, concerts and festivals presenting young music authors, study stays for music authors connected with creation of music copyright works |
14. 1. 2. 11th OSA Annual Awards
For the eleventh time, OSA handed over awards to the most successful music composers, lyricists and publishers in the total of 15 categories. The ceremony of OSA Annual Awards was held in Hybernia Theatre on 2 June 2016. The award winners included Richard Krajič, Zdenek Merta, Martin Kumžák, Tomáš Krulich, Milan Špalek, Varhan Orchestrovič Bauer, Jaromír Hnilička, Mirosłava Miškechová, Jan Rössner, Vladimír Kočandrle, Libor Pešek, Eduard Krečmar, ProVox Music Publishing, Warner/Chappell Music and Glanc, s.r.o. The ceremony was presented by Michal Prokop who sang a duet with Markéta Foukalová in the course of the evening. Other musical guests included Bára Poláková, Dasha, Ondřej Brousek, Jan Smignatror, Felix Slováček jr. and Epoque Quartet.
OSA Annual Awards are unique in the Czech Republic as they are awarded based on the statistics provided by radio and television broadcasters, operators of online music services, media producers and sellers or concert organizers. “We are glad that in the eleven years of their existence, the awards have found their place among other music awards on our music scene,” explains Roman Stréjček, chairman of OSA Board of Directors. The results are not based on decision of a professional jury but reflect the music played every day by radios and TV stations, sold on media or concerts with greatest attendance.
“OSA Annual Awards are an opportunity to pay tribute to the successful Czech authors whose production enriches our lives. They are a unique occasion where authors and colleagues across all genres can meet,” says Roman Stréjček. The highest awards include OSA Golden Award for contribution to the Czech music, which went to Eduard Krečmar this year, and OSA Golden Fund for the most played pieces or authors in the long term, which went to the piece called Tři orásky (Three nuts) by composer Karel Svoboda and lyricist Vladimír Kočandrle, included in the catalogue of ProVox Music Publishing. Jiří Grossman was inducted in OSA Golden Fund as an author.
Richard Krajič with his two awards – for the most successful popular music lyricist and composer – was the most successful author. In total, Krajič has won 13 awards. Juraj Filas was the most successful classical music composer in 2015. Song Pohoda by Kabát band was the most frequently played song, its authors being Milan Špalek and Tomáš Krulich. Kabát had also played the most successful concert of the year – Open Air Tour organized by Glanc, s.r.o. agency. The award for the most successful piece in the category of classical music went to Saint Wenceslas oratorio by Martin Kumžák, the award for the piece across genres went to Jaromír Hnilička for his Jazz Mass. Varhan Orchestrovič Bauer and Zdenek Merta
were the most successful authors abroad in classical and popular music, respectively. The award for promotion and spreading of Czech music was received by Libor Pešek.
OSA Annual Awards do not omit the young generations under 30 in classical as well as popular music. Miroslava Miškechová, who had become famous thanks to her duet with Xindi X, became the most successful young author of popular music, and the award for the most successful author of classical music went to Jan Růsner. In addition to the glass cassette prize, both received a check for CZK 50,000 from OSA.
Warner/Chappell Music s.r.o. CZ was the most successful publisher last year.
This year’s awards were held under the sponsorship of the Ministry of Culture of the Czech Republic. The main media partner was music television Œko which broadcasted a recording of the OSA Annual Awards ceremony at Œko Gold station from 8 pm on 26 June 2016. Other media partners included radio Classic Praha, Express FM, magazine Autor In and project MyslimeNaHudbu.cz.
### Results of the 11th OSA Annual Awards
| Category | Winner |
|-----------------------------------------------|------------------------------------------------------------------------|
| Popular Piece of the Year | Pohoda, authors: Milan Spalek, Tomáš Krulich |
| Classical Piece of the Year | Oratorio Svatý Václav, author: Martin Kumžák |
| Most Successful Popular Music composer | Richard Krajčo |
| Most Successful Lyricist | Richard Krajčo |
| Most Successful Classical Music Composer | Juraj Filas |
| Most Successful Publisher | Warner/Chappell Music s. r. o. CZ |
| Most Successful Young Author of Popular Music | Miroslava Miškechová |
| Most Successful Young Author of Classical Music | Jan Růsner |
| Most Successful author Abroad of Popular Music | Zdenek Merta |
| Most Successful author Abroad of Classical Music | Varhan Orchestroví Bauer |
| Most Successful Composition among Genres | Jazzová mše, author: Jaromír Hnilicka |
| OSA Golden Award | Eduard Krejčar |
| OSA Golden Fund | Piece: Tři ořišky, authors: Karel Svoboda, Vladimír Kočandrle, publisher: ProVox Music Publishing, s. r. o. Author: Jiří Grossmann |
| Award for Promotion and Spreading of Czech Music | Libor Pešek |
| Concert of the Year | Open Air Tour Kabát – Glanc, s. r. o. |
14.2. Support for charity projects
In addition to one of the programs of the Partnership project ("OSA HELPS") that is focused directly on support for charity events, our association is also interested in charity assistance and help to those in need. We express it by language which is the closest to us – through music. For example, OSA has been cooperating with The Tap Tap Orchestra for eight years. During this time we have helped the band to release three albums and we have contributed to realization of many performances. It is a band from Jičínka Institute. Popularity of the band, which also performed at one of the OSA Awards ceremonies, has grown so much over a few years that it has rightfully become an internationally recognized and successful project. This is one of the reasons we are honored to be able to help people who have been unlucky with their health but despite this setback they are full of energy and humor.
For six years we have been cooperating with the Diaconia of the Evangelical Church of Czech Brethren. The Diaconia operates more than a hundred facilities across the Czech Republic and its activity is focused on serving people with mental and physical disability and other people who have found themselves in difficult life situations. In the same mode we cooperate with the Charity of the Czech Republic.
Another example of long-term charity cooperation is our support for the Motol Motolice concert, which we have been happily providing for eight years. It is a charity concert which is held in Břevnov monastery each year and the proceeds from this concert are used for assisting children from the oncology ward in Motol hospital.
Charity or similar social significance of a cultural event is taken into consideration in many cases by provision of licenses for symbolic or significantly more advantageous prices. This includes performances with live as well as recorded music. Such agreements have been concluded e.g. with the Association of Pensioners, Association of Employees of Houses for Children and Youth, Pionyr association, Elementary Art Schools Association, Czech Choirs Union, Polish Cultural and Educational Union in the Czech Republic, Folklore Union of Prague and Central Bohemian Region, Haná Folklore Society, Society for Folk Traditions of the South Moravian Region or Horní Beřkovice Psychiatric Hospital. In the same way, we express our support e.g. for the event Bambiráda organized by the Czech Council of Children and Youth, or the event Běhy naděje organized by Levity society. The sense of belonging to a community solidarity professional solidarity motivate us to seek opportunities to support our own authors who are in need of assistance in the way of a financial contribution from the solidarity fund.
14.3. Educating authors
We consider the support for education to be one of the most effective and powerful instruments in supporting the development of the music world in terms of long-term effects. For this reason we have focused one of programs of the mentioned Partnership project ("OSA TALENT") on the area of education, intended as an expression of support for young authors through competitions, courses or study stays. In 2016 we supported e.g. musical workshops for young musicians with the French producer Jean Pierre Mathieu. They are intended for Czech musicians who have the potential to break through abroad. One of the main goals is a considerable improvement of the musical production so that it does not fall behind the foreign competition and an improvement of stage presentation. In addition, the Czech Jazz Workshop project organized by the Czech Jazz Society was supported. It is a week-long workshop which is attended each year by lectors from all around the world and which is designated for all groups of musicians who want to study the art of music from the best in the field. A financial prize was also given to the winner of the 2016 Best Jazz Piece by a Young Author category which was awarded within Bohemia Jazz Fest partnered by OSA. Our support for Development of Music Production at Primary Schools Project under the patronage of the Institute of Modern Music is also worth mentioning. Theory is explained to children in an attractive form and the education is accompanied with active creative demonstrations. After a year of training, children are able to compose a basic piece of music in their genre. We draw attention to young talents also through the category of the Most Successful Young Author of Popular Music which is awarded at OSA Annual Awards.
14.4. New trends
We also see our role in areas which are less visible from the media perspective, however, they are especially significant for future development on the music market. We watchfully observe the development of trends in music distribution and legal environment not only in the Czech Republic but also abroad where the main development changes are usually foreshadowed and determined. We react to changes in trends by finding new business models. We try to support Czech music e.g. through its presentation in multinational services such as Google Play, Deezer, iTunes but also within the MusicJet service. Agreement on YouTube service was concluded by OSA as early as in 2009 and therefore OSA was one of the first five collective rights managers in Europe which allowed a trouble free launch of the service in the Czech Republic while guaranteeing legalization of content and collection of royalty fees for represented copyrights holders.
The intention of OSA is to create a long-term solid professional, interest and personal bond between the employer and employees on one hand and between the employees on the other hand. To each employee, we offer possibilities of further development of his/her personal and professional life while maintaining equal approach. To the most talented people we are able to offer new career possibilities within the company. Our employees chime in with the integrated corporate culture thanks to the professionalism and healthy relationship based on open bilateral communication, trust and informal mutual approach but even more so because love and respect to music usually affect more than the professional framework of their lives. On these foundations we together create an inspiring team, consisting of various but coherently interconnected agents – professionalism, experience, talent, passionate youth, enthusiasm, creativity or flexibility. An individual who is happy from the professional as well as personal point of view, who finds a higher purpose in his activity and who works in a friendly, varied and mutually complementing, enriching and motivating collective is the best guarantee of a perfectly done job for our clients.
After the period of 2010—2014 when the number of employees had been considerably reduced from 218 to 157 in accordance with the ongoing changes in the corporate structure and organization, the number of employees stabilized in the following years below a level of 2014. The total number of employees as of 31 December 2016 was 153 (incl. those who worked based on agreements to perform work).
15. 1. Structure of employees by age and sex
| Age limit | Men | Women | Total |
|---------------|-----|-------|-------|
| up to 30 years| 5 | 14 | 19 |
| 31–40 years | 11 | 27 | 38 |
| 41–50 years | 12 | 38 | 50 |
| 51–60 years | 8 | 29 | 37 |
| 61 and more years | 7 | 2 | 9 |
| **Total** | **43** | **110** | **153** |
Development in the number of employees
| Year | Number of employees |
|------|---------------------|
| 2012 | 204 |
| 2013 | 182 |
| 2014 | 157 |
| 2015 | 155 |
| 2016 | 153 |
15. 2. Social policy
**Work-life balance**
Being a modern employer we allow our employees to schedule their personal and professional life through flexible working hours so that any unpleasant collisions in these areas are avoided. In addition, depending on the nature of business to be conducted, OSA offers an extensive amount of alternative workloads which are responsive to the needs of its employees. For example, one can work from home ("home office") or part-time. Employment of existing employees who are on a maternal leave is supported through agreements on works performed outside employment relationship.
**Handicapped**
We try to employ our handicapped fellow citizens if operational conditions allow it. As of 31 December 2016 we employed 8 persons with modified work capability, out of these 8 people 2 persons had a severe disability.
In 2016, OSA represented in total 9,159 domestic copyright holders.
Independent auditor’s report
OSA 2016 Yearbook
Issued by OSA – Ochranný svaz autorský pro práva k dílům hudebním, z.s.
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https://www.osa.cz/storage/Download_DownloadTranslation/1-2000/121-attachment-osa-annual-report-2016.pdf
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Starting your PExpo Project
Step 1: Brainstorm
CATEGORIES
Read the PExpo Categories for inspiration
Consider what sports you play or follow:
What do you want to know more about?
What issues do you or others face in the sport?
Look up sports issues in the news controversies, advancements etc.
Research sports people and their particular skills.
Check out previous winners (on the PExpo website) for ideas.
Page 1
Physical, Psychological and Tactical Demands of Performance 1.
Power of Sport- Culture, History and Inclusion 2.
Well-being- Physical, Mental and Social 3.
Technology and Media 4.
Nutrition and Diet 5.
Olympic Ideas and Values 6.
My favourite Olympian (First years only) 7.
pexpoireland.com
Starting your PExpo Project
Step 2: Research
Look up articles, studies, books and documentaries to check there is enough information available to make your project viable.
Gather your sources in a document or save them as bookmarks in your browser.
Consider what research methods you will implement e.g. interviewing classmates, using sports statistics or conducting scientific experiments.
SOURCES:
RESEARCH METHODS:
pexpoireland.com
Page 2
Starting your PExpo Project
Step 3: Organise
Make a list of all tasks needed to complete your project such as:
Creating a spreadsheet to record data.
Gathering and printing images.
Proof-reading.
If you're working with a team, divide the tasks. (Teams can have up to five students.)
Make the best use of particular skills e.g. assigning a classmate who is good at maths to analyse data or an artist to design the overall appearance of the project.
TASKS:
K
TEAM MEMBERS:
Page 3
pexpoireland.com
Starting your PExpo Project
Step 4: Timetable
Make a detailed timetable for completing your project.
Will you meet a few times a week or work on your tasks separately and meet up once a week?
Set intermediate deadlines for tasks.
Decide on a final deadline, ideally a week before PExpo!
Task Timetable
| | TASK | DUE DATE |
|---|---|---|
| 1 | | |
| 2 | | |
| 3 | | |
| 4 | | |
| 5 | | |
| 6 | | |
| 7 | | |
| 8 | | |
| 9 | | |
| 10 | | |
| 11 | | |
| 12 | | |
| 13 | | |
| 14 | | |
Page 4
pexpoireland.com
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| 1,075,701,641
| 598
|
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|
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| 0.992377
|
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| 0.993831
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DELTA DOWNS - May 3, 2012 - Race 9
ALLOWANCE - Quarter Horse
FOR ACCREDITED LA BRED THREE YEAR OLDS AND UPWARD WHICH HAVE NEVER WON THREE RACES. Three Year
Olds, 124 lbs.; Older, 126 lbs. (SNW3 L)
Three Hundred And Fifty Yards On The Dirt Track Record: (Big Dashing Perry - 17.082 - July 4, 2013)
Purse: $30,000
Includes: $28,500 Other Sources
Includes: $1,500 LAVPF - QH Louisiana Video Poker Fund
Available Money: $30,000
Value of Race: $30,000 1st $18,000, 2nd $6,000, 3rd $3,300, 4th $1,800, 5th $900
Wind Speed: 0Wind Direction: No
Weather: Cloudy Track: Fast
Off at: 10:36 Start: Good for all Timer: Electronic
18Feb12
19Mar12
28Feb12
3Jul11
8Dec11
Run-Up:
0 feet
Winner:
Bigtime Bammie, Sorrel Gelding, by Bigtime Favorite out of Bammies Princess, by Holme At Last. Foaled Mar 21, 2008 in Louisiana.
Breeder:
Ben Benham.
Winning Owner:
Ben Benham
Scratched Horse(s): Dash N Cash Fortune (Veterinarian), Tachas Got Game (Stewards)
Total WPS Pool:
$18,378
Past Performance Running Line Preview
Trainers: 8 - Roberts, Sr., Kenneth; 3 - Shipman, Teresa; 10 - Cavazos, Frank; 1 - Haywood, Vann; 2 - Robbins, Ray; 4 - Shay, Buddy; 5 - Baker, Jr., Ceburn; 6 - Touchet, Robert
Owners:
8 -Ben Benham; 3 -Richard L. Brown; 10 - F and K Partners; 1 -Chris C. Dunn; 2 -Ray Robbins; 4 -Buddy Shay; 5 -Gene Cox; 6 -Robert J. Touchet;
Footnotes
BIGTIME BAMMIE rallied, drifted in late, best. ZUPERSTAR speed, caught. SIX CHICKS HAPPEN broke out start, late rush. TEA PARTY PATRIOT bumped early, bid, hung. BUBBA B BAD drifted in early, evenly. FIRST SPIRIT stumbled start, no real threat. CARAS CAJUN early mild try, faded late. RT GAME showed little.
Copyright 2016 Equibase Company LLC. All Rights Reserved.
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|
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| 500,127,793
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CAROLINE COUNTY SHERIFF'S OFFICE HOW TO MAKE A COMMENDATION or HOW TO FILE A COMPLAINT
1. If you wish to make a commendation or file a complaint on any personnel within the sheriff's office or about any aspect of our operations, please:
a. Come to the Sheriff's Office and tell any employee you want to make a commendation; or file a complaint:
b. Call the Sheriff's Office and tell the person answering the phone that you want to make a commendation or file a complaint, they will then send out our commendation/complaint form; or:
c. Write your commendation or complaint and mail it to: Sheriff A. A. "Tony" Lippa, Jr. Caroline County Sheriff's Office
P.O. Box 39, Bowling Green, VA 22427.
2. If you have a commendation, you will receive a letter acknowledging your comments.
3. A supervisory officer can assist you in filling out a report of commendation/complaint form. This form asks you to identify yourself and then to give specific details about your commendation or complaint.
4. If you have a complaint, it will be investigated. You will receive a letter advising you that your complaint has been received and someone from this office will be contacting you if not already done. You may be contacted and asked additional questions about your complaint.
5. When your complaint investigation has been concluded, the Sheriff will review the investigation and you will then receive a letter explaining that the investigation is complete. The results of the investigation are protected by the Freedom of Information Act, but be assured all complaints are very serious and they will be investigated thoroughly.
CAROLINE COUNTY SHERIFF'S OFFICE COMMENDATION/COMPLAINT INVOLVING SHERIFF'S PERSONNEL
Confidential
Name Of Reporting Person:
Reporting Person's Address:
Home Phone:
Work Phone:
Information on Employee which the complaint/commendation is being filed.
Name:
Badge # (If known):
Vehicle:
Other:
Date of Incident:
Approximate Time:
Location of Incident:
Name of Witness to Incident:
Witness Address:
Home Phone:
Work Phone:
Statement of Facts:
(If further space is needed use reverse side of sheet)
I understand that this statement will be submitted to the Caroline County Sheriff's Office and may be the basis for an investigation. Further, I sincerely and truly declare and affirm that the facts contained herein are complete, accurate and true to the best of my knowledge and belief. Further, I declare and affirm that my statement has been made by me voluntarily without persuasion, coercion, or promise of any kind.
_________
Signature of Reporting Person
Date
Check if reporting person refused to sign.
_________
Signature of Appointee Receiving Form
Date
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|
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|
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Title (en)
DIRECT INJECTION LUBRICATION SYSTEM FOR KNITTING MACHINES
Title (de)
SCHMIERSYSTEM MIT DIREKTEINSPRITZUNG FÜR STRICKMASCHINEN
Title (fr)
SYSTÈME DE LUBRIFICATION À INJECTION DIRECTE POUR MACHINES À TRICOTER
Publication
EP 3084055 A1 20161026 (EN)
Application
EP 14872808 A 20141219
Priority
* US 2014071579 W 20141219
* US 201361919184 P 20131220
Abstract (en)
[origin: WO2015095748A1] An oil spray lubricator system for knitting machines, operable with a source of compressed air and a source of lubricating oil under pressure, comprising: a. an air flow filter that receives compressed air from said source thereof and reduces water in the air flow, b. a valve that controls said air flow, c. a first regulator that sets selected pressure of said air flow, and d. a second regulator that receives oil flow from said source thereof and sets selected pressure of said oil flow, g. a pulse timer that ejects said oil flow in selected frequency of pulses, h. a multi-port oil generator having an oil chamber having oil and air inlets and multiple oil ducts each of which has an inlet and an outlet and is situated within a larger bore diameter air duct that surrounds and creates an annular passageway between said oil and air ducts, and i. at least one ejection nozzle.
IPC 8 full level
D04B 35/28(2006.01)
CPC (source: EP)
D04B 35/28(2013.01)
Designated contracting state (EPC)
AL AT BE BG CH CY CZ DE DK EE ES FI FR GB GR HR HU IE IS IT LI LT LU LV MC MK MT NL NO PL PT RO RS SE SI SK SM TR
Designated extension state (EPC)
BA ME
DOCDB simple family (publication)
WO 2015095748 A1 20150625; CN 106164351 A 20161123; CN 106164351 B 20190305; EP 3084055 A1 20161026; EP 3084055 A4 20171122; EP 3084055 B1 20190821; JP 2017510756 A 20170413; JP 6400105 B2 20181003
DOCDB simple family (application)
US 2014071579 W 20141219; CN 201480076003 A 20141219; EP 14872808 A 20141219; JP 2016541529 A 20141219
|
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Certificate of constancy of performance
0432-CPR-00026-101
Version 01
In compliance with Regulation (EU) No 305/2011 of the European Parliament and of the Council of 9 March 2011 (the Construction products Regulation or CPR), this certificate applies to the construction product
Overhead door closer TS 90 Impulse EN 3
Controlled door closing devices for single and double leaf swing doors according to the composition and classification in annex 1
placed on the market under the name or trade mark of
dormakaba Deutschland GmbH
DORMA Platz 1
58256 Ennepetal
Germany
and produced in the manufacturing plant(s)
DO 2.20
This certificate attests that all provisions concerning the assessment and verification of constancy of performance described in annex ZA of the standard(s)
EN 1154:1996/A1:2002/AC:2006
under system 1 for the performance set out in this certificate are applied and that the factory production control conducted by the manufacturer is assessed to ensure the
constancy of performance of the construction product.
This certificate was first issued on 03.06.2020 and will remain valid until 03.06.2025 as long as neither the harmonised standard, the construction product, the AVCP methods nor the manufacturing conditions in the plant are modified significantly, unless suspended or withdrawn by the notified product certification body.
Dortmund, 03.06.2020
By order
Dipl. Ing. (FH) T. Wilms
Head of Certification Body Department 22.30.2
This Certificate consists of 1 page and 1 annex(es).
The original of this document was issued in German language.
In case of doubt only the German version is valid.
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| 215,733,258
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MAKING AGMs MEANINGFUL
"The votes were cast, ere the speeches were made
No questions were answered, no fears allayed."
(M. Damodaran)
It is AGM season again. It is that time of the year, when shareholders make their way to their annual meetings with the men and women of substance, who manage and direct the companies, that they partly own. More often than not, theirs are journeys not of expectation but of hope. Managements sometimes see these as confrontational rather than collaborative interactions. Stakeholder democracy is premised, among other things, on meaningful AGMs. Subodh Bhargava and Shailesh Haribhakti offer their take on value-adding practices and possibilities.
"If hopes were dupes, fears may be liars."
A 'meaningful' AGM for shareholders should enable them to get detailed information in respect of the business of the company - products, operations, processes, talent, market, competition, financials, values, strategies, technology, and future direction and also share their assessment on these aspects and the company.
For the Board and the management, the AGM would be 'meaningful' if the shareholders give constructive feedback, and suggestions about the status and performance of the company. When the interaction results in reinforcing shareholders' confidence and trust in the Company / Management and its strategy, AGMs are annual occasions for shareholders to meet the Chairman and Board members to discuss the year gone by and to take home some thoughts about future prospects. Most Companies treat this opportunity as a ritual to be completed as soon as possible. The salutary intention of increasing shareholder participation has caused AGMs to become even more ritualistic as shareholders know that all decisions are already voted on and their speeches are an empty formality. Can this be transformed? Emphatically, yes. The AGMs of two Groups reinforce this belief.
The Chief Promoter of one Group himself makes a presentation on the past and the future of the
sustained growth and handsome returns will be ensured.
Presently, the transparency and the granularity of information falls short of shareholder expectations. Often, shareholder interventions tend to be trivial such as time, date and venue of the meeting, possible handouts, and delayed receipt or non receipt of the report.
The following could make AGMs meaningful:
- Annual Report including the accounts to be presented in a reader friendly manner with transparent and comprehensive disclosures.
- Shareholders need to be persuaded to accept soft copies.
- Management should make crisp and informative presentation about the company in an interactive manner.
- To maximize participation, the time allotted for each shareholder intervention must be strictly observed.
- To avoid repetition, only shareholders who are present at the commencement of the meeting should be permitted to speak.
Extraordinary effort goes into making this presentation a collector's item. New concepts, strategic choices and the emerging challenges are shared and a vibrant Q&A session ensues. Clarifications are given and the shareholders experience a sense of fulfillment. Shareholders may speak at length but are requested to avoid repetition. This is a model worth following.
In another company, the Executive Chairman makes a statement which is both a comprehensive review of the year past and a peep into the future. Running videos and audio presentations enhance shareholder interest. Recognizing shareholders by name and a sentence or two of conversation create a lasting bond.
Forward looking statements that may bind future Boards should be avoided. The key elements to make AGMs more meaningful are valuable insights outside the Financial Report, a human touch which creates a relationship and a belief that every shareholder matters.
READERSPEAK
S.Rajgopal, Former Cabinet Secretary
"Thanks for sending me a copy of Expert Expressions. It is timely, short and crisp. The views are of experienced professionals. I hope it is read by decision makers."
G. Pradeepkumar, CEO, Union KBC Asset Management Company
"Thank you for sharing these well articulated views. Mr Satwalekar’s suggestion of giving shares to IDs of listed firms seems to make sense. However, that still leaves out unlisted"
Do let us know of any specific issues you would like to see addressed in subsequent issues.
|
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|
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|
http://excellenceenablers.com/media/Excellence-Enablers-Newsletter-july2016.PDF
|
2018-02-19T02:11:33Z
|
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| 116,528,140
| 847
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WALKING BY FAITH
The Sacred Scriptures frequently speak about the "Christian walk" as a description of believers' behavior. For example, we are told to walk as children of light, walk in the truth, walk according to the Spirit, and walk in love. St. Paul's Letter to the Colossians 2:6 uses this expression to give us an important command:
"Therefore as you have received Christ..."
And we, who have gathered together, proclaim the sufferings of him who does not suffer and proclaim the death of Him who does not die. In the same night when He sat with His disciples He gave His soul over to death with the will of His Father and in His own good pleasure.
They took hold of Him who takes hold of all, bound the ruler of all and shackled the Son of the living God; they drew Him in wrath and He followed them in love, they took Him and He followed them like a meek sheep which is dumb before its shearers.
They caused to stand in the court Him, before Whom stand archangels in fear and trembling. He who forgives sins, was accused as a sinner by them, the Judge of judges was judged by them.
Him, Who crowns seraphim with a coronet, they crowned with a crown of thorns. Him, Who clothes cherubim with garments of might, they clothed with a scarlet robe to mock Him.
A wicked servant strengthened his hand to strike the face of Him from Whose face the cherubim are hidden being covered with wings of fire.
They knelt before him, mocking Him Whom the hosts of angels worship in great fear.
Oh what humility is this! Oh what patience is this! Oh what a silence is this!
Oh what a kindness is this! Oh what a love of man is this!
Love drew down the Son of God from His throne and brought Him unto death. Him, Who had no wickedness, they crucified as wicked. Him, Who is the maker of life, they numbered with the wicked.
Oh the hands which formed Adam were nailed with the nails of the cross. Oh the feet which walked in the garden were nailed with the nails of the cross.
Oh the mouth which breathed the spirit of life into the nostrils of Adam drank vinegar mixed with gall.
What mouth, what lips, what tongue can express the sufferings of the Son?
The heart is broken, the mind is perplexed, the soul trembles and the flesh is weary when the
|
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|
2017-06-22T20:22:09Z
|
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| 273,707,935
| 531
|
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|
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Wade Hampton
Plan 3832
ELEVATION A
SQUARE FOOTAGES
1st Floor Living Area 2,579 SF
2nd Floor Living Area 1,253 SF
Total Living Area 3,832 SF
Garage &/or Storage 697 SF
Covered Patio &/or Porch 290 SF
Total Under Roof 4,819 SF
SECOND FLOOR
All information is deemed to be accurate and reliable but is not guaranteed. Purchaser is advised to contact all sources to verify all aspects of the purchase of this property. Prices, plans and specifications are subject to change without notice. Square footage and room sizes are approximate. Front elevations vary per plan. 01/2007, DreamTech Homes is a Texas Limited Partnership. DreamTech Builders, Inc. is the GP of DreamTech Homes, Ltd.
DREAMTECHHOMES.COM
|
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|
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| 390,163,458
| 185
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A material point method model and ballistic limit equation for hyper velocity impact of multi-layer fabric coated aluminum plate
Abstract A multi-layer fabric coated aluminum plate is usually used in the hard upper torso of space suit to protect astronauts from getting hurt by space dust. In this paper, the protective performance of the multi-layer fabric coated aluminum plate is investigated. To establish its ballistic limit equation, thirteen hyper velocity impact tests with different impact velocities (maximum velocity is 6.19km/s) and projectile diameters have been conducted. To provide data for impact velocity higher than 6.2km/s which is hard to be obtained by tests due to the limitations of test equipment capacity, a material point method (MPM) model is established for the multi-layer fabric coated aluminum plate and validated/corrected using the test results. The numerical results obtained using the corrected MPM model for impact velocity higher than 6.2km/s are used together with the test results to develop the ballistic limit equation. The corrected MPM model and the ballistic limit equation developed for the multi-layer fabric coated aluminum plate provide an effective tool for the space suit design.
Keywords Hyper velocity impact · Material point method · Multi-layer fabric coated aluminum plate · Space suit · Ballistic limit equation
1 Introduction
Due to their excellent impact-resistance, anti-fatigue and energy absorption capacity, fabrics and flexible composites are frequently used in protective structures to enhance their protective capacity [9]. For example, the multi-layer fabric coated aluminum plate structure, as shown in Fig.1(a), is used in the hard upper torso (HUT) of space suit to protect astronauts from getting hurt by space dust, where the multi-layer fabric consists of a outer-layer fabric, a multi-layer insulation (MLI) layer and a liner layer, as shown in Fig.1(b). The MLI layer is composed of aluminized films separated by gauzes [32].
Fig. 1 (a) Multi-layer fabric coated aluminum plate; (b) Multi-layer fabric
The investigation on the protective performance of the multi-layer fabric structures are generally based on the hyper velocity impact test. William et al. [29] studied the protective performance of different fabrics of space suit through hyper velocity impact test. Christiansen et al. [5] investigated the protective performance of different fabrics combined in different forms, and established a ballistic limit equation with different structural forms. They also verified the fact that protective capacity can be increased by using flexible
materials and appropriate structural forms, and evaluated the debris risk [9]. Christiansen et al. [4] described results of impact tests with velocity greater than 10 km/s on Nextel/Kevlar stuffed Whipple and all-aluminum shields. Liu et al. also carried out hyper velocity impact tests of glass, extravehicular space suit and satellite electronic box [24]. However, due to the limitations of test equipment capacity, the limit speed of hyper velocity impact test is generally below 7km/s. With the rapid development of simulation technology, the numerical simulation has become a good supplement for test with strong repeatability.
The hyper velocity impact simulation is a big challenge to numerical methods because it involves extreme localized deformation, fragmentation, melting and vaporization. The Lagrangian approach suffers from the difficulties associated with grid distortion and element entanglement, while the Eulerian approach suffers from the difficulties associated with tracking material interfaces and modeling history-dependent materials. By absorbing the basic idea of both the Lagrangian and Eulerian approaches, the material point method (MPM) [30, 31, 36] discretize a continuum body into a set of material points (particles) moving through an Eulerian background grid, as shown in Fig. 2. All material properties, such as mass, velocity, stress, strain and state variables, are carried by the particles so that it is easy to track material interfaces and to implement history-dependent material constitutive models. The momentum equations are solved on the background grid, so that there is no grid distortion and element entanglement, which makes the MPM robust in modeling various types of extreme loading events [36]. In recent years, much effort has been devoted to developing the MPM for simulating extreme loading events in our group at Tsinghua University. As a result, a 3D explicit and parallel MPM code, MPM3D, has been developed [28, 36], which has implemented various MPM/GIMP algorithms, FEM and its different coupling scheme with MPM. The MPM3D has been successfully applied in various extreme loading events, such as hyper velocity impact [35, 23, 21, 7, 27, 11, 29], penetration [12, 15, 20, 17, 18, 3], blast [16, 26], fluid-structure interactions [19, 33].
**Fig. 2** MPM discretization [36]
This paper investigates the protective performance of a multi-layer fabric coated aluminum plate. To establish its ballistic limit equation, we have conducted thirteen hyper velocity impact tests with different impact velocities and projectile diameters. However, due to the limitations of the experiment equipment capacity, the impact velocity in the tests are less than 6.2km/s. To provide data for higher impact velocity, numerical simulations are carried out using the MPM model with MPM3D. To provide reliable numerical results, the MPM model used must be validated and corrected using the test results. The ballistic limit equation is eventually developed based on the test results together with the numerical results.
This paper is organized as follow. Section 2 describes the hyper velocity tests and presents the test results. Section 3 establishes an equivalent laminated plate model of the MLI layer to avoid discretizing each single-layer of the MLI which is too thin. Section 4 summarizes the material models and corresponding material constants used for the multi-layer fabric coated aluminum plate. A MPM model is established in Section 5 for the hyper velocity impact of the multi-layer fabric coated aluminum plate and validated using the test results presented in Section 2. A corrected MPM model is proposed based on the comparison of numerical results and test results, and is used to establish the ballistic limit equation together with the tests in Section 6. Concluding remarks are given in Section 7.
## 2 Hyper velocity impact tests
The ballistic limit equation is used to determine the critical projectile diameter causing perforation on the target, which is an essential tool for determining the minimum shielding requirements for spacecraft. When the projectile diameter is greater than the critical diameter, the projectile will penetrate the specimens.
To obtain the ballistic limit equation for the multi-layer fabric coated aluminum plate and to validate the MPM model established in this paper, the hyper velocity impact tests have been carried out in the
China Aerodynamics Research and Development Center using a 7.6mm-caliber two-stage light gas gun. The velocity is measured by the laser beam shielding method. The pressure inside the target chamber during test is 50Pa, and the sequence laser shadow camera system is used to take pictures for collision process.
The specimens are 200mm × 200mm squares. The outer-layer fabric, MLI layer and liner layer are sewn together along all edges, as shown in Fig. 3(a). The sewn multi-layer fabric is spread on the aluminum plate, and then punched with a metallic frame with an 140mm × 140mm square opening in the center at four sides. The whole test piece is fixed on a bracket inside the target chamber through bolted connection, as shown in Fig. 3(b).
 (a) The sewn multi-layer fabric; (b) The test piece fixed on the bracket
The critical diameter is difficult to be obtained directly from the test. Therefore, we try to obtain the minimum projectile diameter penetrating the specimen and the maximum projectile diameter without penetrating the specimen at the same speed as much as possible in the test. Thus, thirteen tests were conducted with different project diameter $d_p$ and impact speed $V$, as listed in Table 1. The diameter of the projectile is from 0.8mm to 1.4mm, while the measured impact speed is from 2.93km/s to 6.19km/s. The impact angle is 0 degree.
**Table 1** The test parameters and results
| Test cases | $d_p$ (mm) | $V$ (km/s) | Penetrated (Y/N) |
|------------|------------|------------|------------------|
| 01 | 1.0 | 3.09 | N |
| 02 | 1.2 | 2.93 | N |
| 03 | 1.4 | 3.62 | Y |
| 04 | 1.0 | 3.98 | Y |
| 05 | 1.2 | 4.03 | Y |
| 06 | 0.9 | 3.85 | N |
| 07 | 1.0 | 4.30 | Y |
| 08 | 0.8 | 4.47 | N |
| 09 | 0.8 | 4.91 | N |
| 10 | 1.2 | 4.99 | Y |
| 11 | 1.0 | 5.15 | Y |
| 12 | 0.9 | 6.11 | N |
| 13 | 1.0 | 6.19 | Y |
The test results are listed in the rightmost column of Table 1, which indicate whether the aluminum plate is penetrated. These results are also plotted in Fig. 20, which shows that the critical penetration diameter is monotonically decreasing when the impact velocity is smaller than 4.5km/s. Within this velocity range, the impact only lead to deformation of the projectile. The damage form of the test specimen is a single crater or a single shearing aperture, as shown in Fig. 4. When the impact velocity is greater than 4.5km/s, the critical penetration diameter will increase with the increase of impact velocity. Within this velocity range, the damage form of the test specimen illustrates that the projectile has been already broken after it penetrates the layers of fabric so that these broken pieces lead to many circular pits on the aluminum plate, as shown in Fig. 5.
More test results will be provided in Section 5 to validate our numerical model.
### 3 Equivalent laminated plate model of the MLI layer
As shown in Fig. 1, the multi-layer fabric coated aluminum plate consists of a outer-layer fabric, a MLI layer, a liner layer and a aluminum plate. A MLI layer consists of aluminized films separated by gauzes, as shown in Fig. 6. As a meshfree method, the MPM is capable of modeling material and structure with complex internal structure, such as aluminum foam and honeycomb sandwich [21, 22, 23]. However, discretizing
each aluminized film and gauze in a MLI layer into particles will result in too many particles which is cost prohibitive, because each single-layer of the MLI layer is too thin (the minimum thickness is about 18μm). Therefore, the MLI layer has to be idealized as a single-layer material with equivalent material properties properly determined.
### 3.1 Laminated plate model
Fig. 6 illustrates the schematic diagram of the MLI layer used in this paper, which is made up of 9 layers symmetrical with respect to the central axis. The MLI layer can be idealized as a symmetric laminated plate model (as shown in Fig. 7), with each single-layer simplified as a transversely isotropic material on the x-y plane where the length and width are located. Due to the flexibility, these materials which constitute the laminated plate cannot bear bending and twisting. Therefore, the bending rigidity and coupling rigidity of the laminates are ignored, and only the tensile rigidity is taken into account.
Let the laminated plate be subjected to the axial tensile load $N_x$, and the loads in other directions are 0. Thus, the load-strain relationship of the laminated plate can be stated as
$$\begin{bmatrix} N_x \\ 0 \\ 0 \end{bmatrix} = A \begin{bmatrix} \varepsilon_x \\ \varepsilon_y \\ \gamma_{xy} \end{bmatrix}$$ \hspace{1cm} (1)
where $\varepsilon_x$, $\varepsilon_y$ and $\gamma_{xy}$ are the strain components of the laminated plate, $A$ is the equivalent tensile rigidity of the laminated plate defined by
$$A = \sum_{k=1}^{n} t_k b Q_k$$ \hspace{1cm} (2)
where $b$ is the width of the plate, $t_k = z_k - z_{k-1}$ is the thickness of the $k$th layer, and
$$Q_k = \begin{bmatrix} E_k & \nu_k E_k & 0 \\ \frac{\nu_k E_k}{1-\nu_k^2} & \frac{E_k}{1-\nu_k^2} & 0 \\ \frac{\nu_k E_k}{1-\nu_k^2} & \frac{E_k}{1-\nu_k^2} & 0 \\ 0 & 0 & \frac{E_k}{2(1+\nu_k)} \end{bmatrix}$$ \hspace{1cm} (3)
with $E_k$ and $\nu_k$ denoting the Young’s modulus and Poisson’s ratio of the $k$th layer, respectively.
Let the laminated plate is equivalent to a single-layer plate with the same thickness $t = \sum_{k=1}^{n} t_k$. Supposing the equivalent elastic modulus and Poisson’s ratio of the single-layer plate are $E$ and $\nu$, respectively, we have
$$A = tb \begin{bmatrix} E & \nu E & 0 \\ \frac{\nu E}{1-\nu^2} & \frac{E}{1-\nu^2} & 0 \\ \frac{\nu E}{1-\nu^2} & \frac{E}{1-\nu^2} & 0 \\ 0 & 0 & \frac{E}{2(1+\nu)} \end{bmatrix}$$ \hspace{1cm} (4)
The equivalent Young’s modulus and Poisson’s ratio of the single-layer plate $E$ and $\nu$ can be calculated by substituting Eq.(2) into Eq.(4).
The limit load of the laminated plate can be determined through strength analysis. Let $N_x$ gradually increases from zero until all layers of material are yield or failed. The stress of each single-layer material is calculated and then the Von Mises yield criterion and the maximum principal strain failure criterion are used to determine which layer will be yielded or failed first. When a single-layer of the laminated plate is yielded or failed, its rigidity will be weakened so that the slope in the load-displacement curve of the laminate will be decreased. With the increase of external load, the numbers of failed layers are increased and the rigidity will be lower and lower until it becomes zero. Thus, the laminated plate can no longer bear the load and the external load at this moment is the limit load of the laminated plate. The basic steps of calculation are summarized as follows:
1) The stress-strain relationship of the $k$th layer laminate is
$$\begin{bmatrix} \sigma_{xk} \\ \sigma_{yk} \\ \tau_{xyk} \end{bmatrix} = Q_k \begin{bmatrix} \varepsilon_{xk} \\ \varepsilon_{yk} \\ \gamma_{xyk} \end{bmatrix} = Q_k A^{-1} \begin{bmatrix} N_x \\ 0 \\ 0 \end{bmatrix}$$ \hspace{1cm} (5)
where the second equality is due to the fact that the strain of each single-layer is the same as that of the laminated plate.
2) The Von Mises yield criterion $\sigma_{xk}^2 + \sigma_{yk}^2 + (\sigma_{xk} - \sigma_{yk})^2 = 2\sigma_{sk}^2$ and the maximum principal strain failure criterion $\varepsilon_1 > \varepsilon_{tk}$ are used to solve the corresponding $N_x$ when yield or failure of various layers occurs, where $\sigma_{yk}$ and $\varepsilon_{tk}$ are the yield strength and failure strain of the $k$th layer, respectively, $\varepsilon_1$ is the maximum principal strain of the laminate.
3) Update $Q_k$ and $A$. If yield happens in the $k$th layer, its rigidity coefficient $Q_k$ is weakened to
$$\tilde{Q}_k = \frac{E_{tk}}{E_k} Q_k$$ \hspace{1cm} (6)
where $E_{tk}$ is the tangent modulus of the $k$th layer. If failure happens in the $k$th layer, its weakened rigidity coefficient should be $\tilde{Q}_k = 0$. If the $k$th layer is neither failed nor yield, its rigidity coefficient shall remain unchanged, i.e. $\tilde{Q}_k = Q_k$.
Thus, the weakened rigidity of the laminated plate can be obtained as
$$\tilde{A} = \sum_{k=1}^{n} \tilde{Q}_k t_k b$$ \hspace{1cm} (7)
4) Update the stress of each layer. The stress increment of $k$th layer is
$$\begin{bmatrix} \Delta \sigma_x \\ \Delta \sigma_y \\ 0 \end{bmatrix}_k = Q_k \begin{bmatrix} \Delta \varepsilon_x \\ \Delta \varepsilon_y \\ 0 \end{bmatrix}_k = \tilde{Q}_k \tilde{A}^{-1} \begin{bmatrix} \Delta N_x \\ 0 \\ 0 \end{bmatrix}$$ \hspace{1cm} (8)
5) Continue to increase the axial tension $N_x$, and repeat steps 1) to 4 ) until all layers fail.
The stress-strain curve of the laminated plate can be obtained though above calculation. The kinks in the curve correspond to the yield points and failure points of the different layers of the laminated plate.
### 3.2 Determination of material properties of each layer
The material parameters of each layer can be obtained by carrying out various mechanical tests. The elastic properties of the single-layer material can be obtained by static tests, while the material behavior at high strain rates needs to be obtained under dynamic test conditions [37]. Because each single-layer of the MLI is very soft and slim, typical tests under dynamic loading conditions such as Hopkinson test and shear test are very difficult to conduct, if not impossible. Therefore, the material parameters of each single layer is obtained in this paper by the quasi-static axial tensile test.
The quasi-static axial tensile tests are carried out on the Zwick/Roell tensile testing machine with upper-beam moving at speed of 5mm/min. The test pieces are made into long strips with a width of 20mm and a length of 100mm. The specimen breaking is taken as the terminate condition.
The stress-strain curves obtained by the axial tensile tests are shown as Fig.8. Based on these stress-strain curves, the elastic modulus $E$, yield stress $\sigma_y$, tangent modulus $E_t$ and failure strain $\varepsilon_f$ of each single-layer can be calculated, as listed in Table 2. The Poisson’s ratio is determined by FEM simulation using LS-DYNA to match the numerical results with the axial tensile test data.
**Table 2** The material parameters of the single-layers of the MLI
| Material | $E$ (MPa) | $\sigma_y$ (MPa) | $E_t$ (MPa) | $\varepsilon_f$ | $\nu$ |
|---------------------------|-----------|------------------|-------------|-----------------|-------|
| Aluminized film | 2478.9 | 58 | 114 | 0.11 | 0.2 |
| Aluminized film with gauze| 294 | 6.5 | 109 | 0.15 | 0.2 |
| Gauze | 33.17 | 2.0 | 11.7 | 0.28 | 0.1 |
### 3.3 Validation of the laminated plate model
In order to validate the equivalent laminated plate model of the MLI layer established in Section 3.1, the tensile test of the MLI is carried out. The stress-strain curve obtained by the test is compared with that obtained by the laminate model in Fig.9. There are three yield stress points denoted by a, b and c in Fig.9 at which a single-layer is yielded. Fig.9 shows that the results calculated by the laminated plate model agree well with the test results in the elastic and plastic regions, but shows significant discrepancy after the first ply failure point d. The main reason for the discrepancy is that the layers of the test pieces is hand-paved, so that some layers are tight while some layers are relatively loose.
The elastic modulus $E$, Poisson’s ratio $\nu$, yield stresses $\sigma_{y1}$, $\sigma_{y2}$ and $\sigma_{y3}$, limit stress $\sigma_{\text{limit}}$, and tangent modulus $E_t$ of the equivalent laminated plate can be calculated using the theory presented in Section 3.1. Take the first yield stress $\sigma_{y1}$ as the yield stress of the equivalent laminated plate. There are three segments ab, bc and cd in the curve from the first yield stress points a to the first ply failure point d. The slope of these segments represents the tangent modulus of the laminated plate. The first segment ab can be
neglected because its length is very short. The slopes of bc and cd are very close, so that these two lines can be approximated as a straight line bd, whose slope is taken as the tangent modulus of the laminated plate. The material constants determined for the MLI are listed in Table 4.
4 Material models
The projectile and aluminum plate are made of 2A12 aluminum alloy and 5A06 aluminum alloy, respectively. The Johnson-Cook model is used with the Gruneisen equation of state to model the mechanical behavior of these alloys. The Johnson-Cook model [13] [14] is mainly used to describe material behavior of metal materials subject to large strain, high temperature and high strain rate, whose yield stress is given by
\[
\sigma_y = (A + B \varepsilon^{pN}) \left(1 + C \ln \varepsilon^*\right) \left(1 - T^{*m}\right)
\]
where \( \varepsilon^* = \dot{\varepsilon}^p / \dot{\varepsilon}_0 \) is the dimensionless equivalent plastic strain rate, \( \dot{\varepsilon}_0 = 1 \text{s}^{-1} \) is the effective plastic strain rate of the quasi-static test used to determine the yield and hardening parameters, \( \dot{\varepsilon}^p = \Delta \varepsilon^p / \Delta t \) is the plastic strain rate, \( A, B, C, m \) and \( n \) are the material constants, \( T^* = (T - T_r) / (T_m - T_r) \) is the dimensionless temperature, \( T_r \) and \( T_m \) are the room temperature and melt temperature, respectively.
The Mie-Gruneisen equation of state (EOS) is mainly used to describe the thermo-mechanical behavior of metallic solids, which is stated as
\[
p = p_H \left(1 - \frac{\mu \gamma}{2}\right) + \gamma_0 E
\]
where \( p_H \) is the pressure on the Hugoniot, \( \mu = \rho / \rho_0 - 1 \) is the coefficient of compressibility, \( \gamma = \gamma_0 \rho_0 / \rho \) is the Gruneisen coefficient, \( E_0 \) is the internal energy per unit reference volume, \( c_0 \) is the sound speed of the material, \( \gamma_0 \) and \( s \) are the material constants.
The maximum tension stress failure criteria, \( \sigma_1 > \sigma_{\text{max}} \), is used to simulate peel-off of the aluminum plate and cratering failure, where \( \sigma_1 \) is the maximum principal stress, \( \sigma_{\text{max}} \) is the material constant.
The material constants of 2A12 aluminum alloy and 5A06 aluminum alloy are taken from the literature [6,8], and summarized in Table 3.
| Parameter | 2A12 aluminum alloy | 5A06 aluminum alloy |
|-----------|----------------------|----------------------|
| \( \rho \) (g/mm\(^3\)) | \( 2.77 \times 10^{-3} \) | \( 2.67 \times 10^{-3} \) |
| \( E \) (MPa) | \( 7.17 \times 10^4 \) | \( 7.182 \times 10^4 \) |
| \( A \) (MPa) | 265 | 207 |
| \( \nu \) | 0.33 | 0.33 |
| \( B \) (MPa) | 426 | 426 |
| \( C \) | 0.015 | 0.015 |
| \( n \) | 0.34 | 0.34 |
| \( m \) | 1.0 | 1.0 |
| \( C_P \) (J/kg K) | 904 | 853 |
| \( T_m \) (K) | 900 | 864 |
| \( \sigma_{\text{max}} \) (MPa) | 2500 | 2200 |
| \( c_0 \) (m/s) | 5328 | 5328 |
| \( s \) | 1.11 | 1.338 |
| \( \gamma_0 \) | 2.0 | 2.0 |
Both the outer-layer fabric and the MLI layer are modeled by using the elastic-plastic model with the Gruneisen EOS and the maximum principal strain failure model. The elastic-plastic material constants and failure strain of the MLI layer have been obtained in Section 3, while the Gruneisen EOS constants are
taken from the literature\textsuperscript{[10]}. The elastic-plastic material constants and failure strain of the outer-layer are obtained by quasi-static axial tensile tests, while the Gruneisen EOS constants are taken from the literature\textsuperscript{[2]}. These constants are listed in Table 4.
The stress-strain curve obtained by quasi-static axial tensile test shows that the liner layer behaves elastically. Thus, the liner layer is modeled by the elastic model with the Gruneisen EOS and the maximum principal strain failure mode. The elastic material constants and failure strain are obtained from the tensile test, while the Gruneisen EOS constants are taken from the literature\textsuperscript{[34,1]}, see Table 4.
**Table 4** Material constants of the multi-layer fabric
| Parameter | Outer-layer fabric\textsuperscript{[2]} | MLI layer\textsuperscript{[10]} | Liner layer\textsuperscript{[34,1]} |
|-----------|----------------------------------------|-------------------------------|----------------------------------|
| $\rho$ (g/mm$^3$) | $0.96 \times 10^{-3}$ | $0.267 \times 10^{-3}$ | $0.65 \times 10^{-3}$ |
| $E$ (MPa) | 1905 | 261.27 | 248.59 |
| $\nu$ | 0.43 | 0.195 | 0.3 |
| $\sigma_y$ (MPa) | 188 | 5.54 | |
| $E_t$ (MPa) | 88.44 | 66.73 | |
| $\varepsilon_f$ | 0.25 | 0.11 | 0.23 |
| $c_0$ (m/s) | 5350 | 2000 | 1506 |
| $s$ | 1.0 | 1.4 | 1.32 |
| $\gamma_0$ | 0.766 | 1.53 | 0.784 |
## 5 Numerical simulation
In the hyper velocity impact test presented in Section 2, the specimen is a 200mm × 200mm × 3mm multi-layer fabric coated aluminum plate. The thicknesses of the outer-layer, MLI layer, liner-layer and aluminum plate are 0.4mm, 1.0mm, 0.2mm and 1.4mm, respectively. In the tests, the minimum impact velocity of the projectile is about 3km/s, and the coated aluminum plate is penetrated in less than 4μs. Since the sound speed of the aluminum plate is 5328m/s, the impact wave travels less than 21.5mm in the aluminum plate during this period. Therefore, to reduce the computational cost, the size of the multi-layer fabric coated aluminum plate is chosen as 28mm × 28mm × 3mm in our numerical studies. The MLI layer is simplified by the equivalent laminated plate model established in Section 3.
### 5.1 MPM model
Due to symmetry, only one half of the plate is modeled by MPM particles, as shown in Fig.10. There are five parts in the model, namely, the spherical projectile, the outer-layer fabric, the MLI layer, the liner layer and the aluminum plate. The particle spacing is 0.1mm, while the cell size of the background grid is 0.2mm. The symmetric boundary condition is imposed on the symmetry plane, whereas the free boundary condition is imposed on the top and bottom boundaries. The transmitting boundary condition is imposed on the three remaining boundaries to suppress the reflection wave on these artificial boundaries.
**Fig. 10** MPM model of the multi-layer fabric coated aluminum plate
### 5.2 Numerical simulation of test cases 03 and 05
In order to validate the MPM model, the test cases 03 and 05 listed in Table 1 are simulated using our MPM3D code\textsuperscript{[28,33]} with the MPM model. The final configuration of the outer-layer and aluminum plate obtained by the MPM simulation are compared with the test results in Fig.11 - Fig.14, while the sizes of the perforated holes in horizontal and vertical direction ($D_h \times D_v$) are listed in Table 5.
Fig. 11 The final configuration of the outer-layer for test case 03 obtained by (a) the test, (b) the original MPM model and (c) the corrected MPM model.
Fig. 12 The final configuration of the aluminum plate for test case 03 obtained by (a) the test, (b) the original MPM model and (c) the corrected MPM model.
Fig. 13 The final configuration of the outer-layer for test case 05 obtained by (a) the test, (b) the original MPM model and (c) the corrected MPM model.
Fig. 14 The final configuration of the aluminum plate for test case 05 obtained by (a) the test, (b) the original MPM model and (c) the corrected model.
Table 5 Sizes of the perforated holes ($D_h \times D_v$)
| | Test case 03 (mm) | | Test case 05 (mm) | |
|------------------|-------------------|----------------------|-------------------|----------------------|
| | Outer-layer | Aluminum plate | Outer-layer | Aluminum plate |
| Test | $2 \times 1.8$ | $2.2 \times 2$ | $1.8 \times 1.8$ | $2.4 \times 1.1$ |
| Original MPM model| $5 \times 5$ | $3.5 \times 3.6$ | $5.3 \times 5.2$ | $3.2 \times 3.2$ |
| Corrected MPM model| $2.7 \times 2.4$ | $3.0 \times 3.4$ | $2.3 \times 2.2$ | $2.9 \times 2.4$ |
Fig. 11 - Fig. 14 show that the sizes of the perforated holes obtained by the MPM simulation are larger than those of the test, especially the numerical diameters of the holes perforated in the outer-layer are more than 2 times of the test results. One possible reason is that the material constants of the outer-layer are obtained from quasi-static test, rather than from high strain rate test, as discussed in Section 3.2. However, it is difficult to eliminate this error. Another reason is that the MPM model does not agree well with the test specimen. Fig. 15 shows a snapshot of the test, which illustrates that the thickness in the middle of the test specimen is obviously larger than that in the fixed end. That is to say, there exists space between the layers, which has not been taken into account in the original MPM model. Thus, the original MPM model should be corrected to include these spaces.
### 5.3 Model Correction
Taking the space between layers into account, the original MPM model shown in Fig. 10 can be corrected as shown in Fig. 16. The outer-layer, MLI layer and liner layer are assumed to be spaced equally, namely $s_1 = s_2$, where $s_1$ and $s_2$ denote the space between the adjacent layers. The maximum and minimum thicknesses of the test specimen shown in Fig. 15 are measured as $t_{\text{max}} = 8\text{mm}$ and $t_{\text{min}} = 5\text{mm}$. Taking the averaged thickness $t_a = 6.5\text{mm}$ as the thickness of the test specimen, the total space $s = s_1 + s_2$ can be obtained as the difference between the $t_a$ and the thickness $t = 3.0\text{mm}$ in the original model. Thus, the spaces can be obtained as $s_1 = s_2 = (t_a - t)/2 = 1.75\text{mm}$.
The hyper velocity impact tests of test cases 03 and 05 are simulated again using the corrected MPM model shown in Fig. 16. The final configurations of the outer-layer and the aluminum plate are compared with the test results in Fig. 11 - Fig. 14, while the sizes of the perforated holes are compared with the test results in Table 5. These comparisons show that the numerical results obtained with the corrected MPM model agree reasonably with the test results.
### 5.4 Investigation on the out layer damage and debris cloud
Although the corrected MPM model is obtained based on the results of test cases 03 and 05, it should be able to simulate other hyper velocity impact tests with different impact velocity and projectile diameter. For example, the hyper velocity impact of a projectile with a diameter of 3mm at an impact velocity of 4.26km/s is simulated using MPM3D with the corrected MPM model. Fig. 17 compares the debris clouds at different times obtained by the MPM simulation with test results. The MPM simulation results clearly shows that when the projectile pierces through the target, the projectile is broken into debris. Most of the debris continues to move forward, while some of them ejects backward, and some of them splashes between the layers. The debris cloud continues to stretch and expand during the process of moving forward and
forms into an oval bubble. The shape and size of the debris cloud obtained by the MPM simulation agrees well with the test results.
Fig. 18 illustrate the configuration of the outer-layer fabric with color representing the von Mises stress at different times. The figures in the font view show that the backwash debris splash between the layers and impact on the outer-layer fabric in the opposite direction, which cause damage to the outer-layer fabric, as shown in the figures in the bottom view. Fig. 19 compares the final configuration of the outer-layer fabric obtained by the MPM simulation with the test results. In addition to the perforated hole centered at the impact point, there exist several small holes distributed along a circle centered at the impact point. The diameters of the center hole and the circle obtained by the MPM simulation agree very well with the test results.
 The debris cloud at different times
 Configurations of the outer-layer fabric with color representing the stress at different times. (a) the front view; (b) the bottom view.
### 6 Ballistic limit equation
Christiansen et al. [5] showed that there exist inflection points in the ballistic limit curves of the soft good components of the extravehicular mobility unit (EMU) space suit. Therefore, the ballistic limit equation is
a multi-segment function as\textsuperscript{[5]}
\begin{equation}
d_c = \begin{cases}
\frac{C_L}{\rho^{0.5} V^{2/3} \cos \theta^X} & V \leq V_1 \\
\frac{C_{hi}}{\rho^{0.5} \cos \theta^{0.16} (V_2 - V_1)} + \frac{C_{li}}{\rho^{0.5} \cos \theta^{-(0.088 - X)} (V_2 - V_1)} & V_1 \leq V \leq V_2 \\
\frac{C_H}{\rho^{0.5} V^{2/3} \cos \theta^{0.45}} & V \geq V_2
\end{cases}
\tag{11}
\end{equation}
where $\theta$ denotes the impact angle, $V$ is the impact velocity, $V_1 = 5.1/\cos \theta^{0.132}$, $V_2 = 6.95/\cos \theta^{0.45}$, $C_H$, $C_L$, $C_{hi}$, $C_{li}$ and $X$ are coefficients.
Due to the similarity of the multi-layer fabric coated aluminum plate to the EMU soft good components, we employ Eq.(11) as the ballistic limit equation in form for the multi-layer fabric coated aluminum plate, but with different coefficients. Because $d_c$ is continuous across $V = V_1$ and $V = V_2$, the coefficients $C_H$, $C_L$, $C_{hi}$ and $C_{li}$ must satisfy the relationships $C_{hi} = (6.95)^{-2/3} C_H$ and $C_{li} = (5.1)^{-2/3} C_L$. Thus, the coefficients $C_{hi}$ and $C_{li}$ can be eliminated from Eq.(11).
By carefully examining Eq.(11), we propose a generalized ballistic limit equation as
\begin{equation}
d_c = \begin{cases}
\frac{C_L}{\rho^{0.5} V^{2/3} \cos \theta^X} & V \leq V_1 \\
\frac{C_{H}}{\rho^{0.5} V_L^{2/3} \cos \theta^{-(\frac{2}{3} S_H - X_H)} (V_2 - V_1)} + \frac{C_{L}}{\rho^{0.5} V_L^{2/3} \cos \theta^{-(\frac{2}{3} S_L - X)} (V_2 - V_1)} & V_1 \leq V \leq V_2 \\
\frac{C_H}{\rho^{0.5} V^{2/3} \cos \theta^{X_H}} & V \geq V_2
\end{cases}
\tag{12}
\end{equation}
where $V_1 = V_L/\cos \theta^{S_L}$, $V_2 = V_H/\cos \theta^{S_H}$. The ballistic limit equation (11) is a special case of the generalize equation (12) with $S_H = 0.45$, $S_L = 0.132$, $X_H = 0.45$, $V_H = 6.95$ and $V_L = 5.1$.
Taking Eq.(12) as the ballistic limit equation for the multi-layer fabric coated aluminum plate, we need to determine the eight coefficients ($V_L$, $V_H$, $C_L$, $C_H$, $S_L$, $S_H$, $X$ and $X_H$) based on the test data or/and numerical results. It can be shown that the critical diameter $d_c$ is only related to $V_L$, $V_H$, $C_L$ and $C_H$ if the impact angle $\theta = 0^\circ$; $\alpha e$, namely
\begin{equation}
d_c = d_c (V, V_L, V_H, C_L, C_H)
\tag{13}
\end{equation}
We have conducted 13 tests with impact angle $\theta = 0^\circ$ for impact velocity $V < 6.2$km/s, but not for impact velocity $V > 6.2$km/s due to the limitations of the test equipment capacity. Therefore, we conducted numerical tests using the corrected MPM model for impact velocity of 7km/s, 8km/s and 9km/s. For each specified impact velocity, many cases have been tried with different projectile diameters to obtain the minimum projectile diameter $d_{Y_{\text{min}}}$ that penetrates the target and the maximum projectile diameter $d_{N_{\text{max}}}$ that does not penetrate the target, as listed in Table 6.
| $V$(km/s) | $d_{Y_{\text{min}}}$(mm) | $d_{N_{\text{max}}}$(mm) |
|-----------|-----------------|-----------------|
| 2 | 1.42 | 1.38 |
| 3 | 1.22 | 1.18 |
| 4 | 1.12 | 1.08 |
| 5 | 0.98 | 0.94 |
| 6 | 0.84 | 0.80 |
| 7 | 0.92 | 0.88 |
| 8 | 0.86 | 0.82 |
| 9 | 0.84 | 0.80 |
The numerical results for impact velocity of 7km/s, 8km/s and 9km/s together with the test results listed in Table 1 are used to fit the ballistic limit equation (13). The coefficients are obtained as $V_L = 4.73$km/s,
$V_H = 6.56 \text{km/s}$, $C_L = 13 \text{kg}^{1/2} \text{s}^{-2/3} \text{m}^{1/6}$ and $C_H = 18 \text{kg}^{1/2} \text{s}^{-2/3} \text{m}^{1/6}$ by minimizing the mean square fitting error
$$e(V_L, V_H, C_L, C_H) = \frac{1}{N} \sum_{k=1}^{N} (d_c(V_k, V_L, V_H, C_L, C_H) - \hat{d}_{ck})^2$$
(14)
where $N = 19$ is the total number of points used to fit the equation, $d_c(V_k, V_L, V_H, C_L, C_H)$ is the fitted value, $\hat{d}_{ck}$ is the test value and numerical value. The fitted ballistic limit curve for impact angle $\theta = 0^\circ$ is plotted in Fig. 20.
To further validate our corrected MPM model, the simulation results obtained for the impact velocity $V \leq 6 \text{km/s}$ are also plotted in Fig. 20. It shows that the critical diameter obtained by our corrected MPM model for impact velocity $V \leq 6 \text{km}$ agrees very well to the fitted curve obtained from the test results for impact velocity $V < 6.2 \text{km/s}$ and the numerical results for impact velocity $V \geq 7 \text{km/s}$. This further verifies that our corrected MPM model is able to well predict the hyper velocity impact behavior of the multi-layer fabric coated aluminum plate.
To further determine the remaining coefficients, we conducted many numerical tests for impact angle $\theta = 45^\circ$ and $\theta = 60^\circ$ with different impact velocities. For each specific impact velocity, many cases have been tried out with different projectile diameters to obtain the minimum and maximum projectile diameters, as listed in Table 7.
**Table 7** Numerical simulation cases for impact angle $\theta = 45^\circ$ and $\theta = 60^\circ$
| $V (\text{km/s})$ | $d_{Y\text{min}} (\text{mm})$ | $d_{N\text{max}} (\text{mm})$ | $d_{Y\text{min}} (\text{mm})$ | $d_{N\text{max}} (\text{mm})$ |
|------------------|-----------------|-----------------|-----------------|-----------------|
| 2 | 1.72 | 1.68 | 2.17 | 2.13 |
| 3 | 1.32 | 1.28 | 1.82 | 1.78 |
| 4 | 1.07 | 1.03 | 1.62 | 1.58 |
| 4.5 | 1.01 | 0.97 | 1.32 | 1.28 |
| 5 | 1.02 | 0.98 | 1.32 | 1.28 |
| 5.5 | 0.93 | 0.89 | 1.23 | 1.19 |
| 6 | 0.92 | 0.88 | 1.22 | 1.18 |
| 6.5 | 0.92 | 0.88 | 1.13 | 1.09 |
| 7 | 0.92 | 0.88 | 1.10 | 1.08 |
| 8 | 0.88 | 0.84 | 1.04 | 1.00 |
| 9 | 0.83 | 0.79 | 1.03 | 0.99 |
Since the coefficients $V_L$, $V_H$, $C_L$ and $C_H$ have been determined, the critical diameter $d_c$ is only related to the remaining coefficients, namely,
$$d_c = d_c(V, \theta, S_L, S_H, X, X_H)$$
(15)
These coefficients are obtained as $S_L = 0.12$, $S_H = 0.1$, $X = 0.48$ and $X_H = 0.23$ by minimizing the mean square fitting error
$$e(S_L, S_H, X, X_H) = \frac{1}{N} \sum_{k=1}^{N} (d_c(V_k, \theta_k, S_H, S_L, X, X_H) - \hat{d}_{ck})^2$$
(16)
where $N = 44$ is the total number of points used to fit the equation, $d_c(V_k, \theta_k, S_L, S_H, X, X_H)$ is the fitted value and $\hat{d}_{ck}$ is the numerical value listed in Table 7.
Eventually, the eight determined coefficients of the ballistic limit equation for the multi-layer fabric coated aluminum plate are summarized in Table 8. The ballistic limit curves for impact angle $\theta = 0^\circ$, $\theta = 45^\circ$ and $\theta = 60^\circ$ are plotted in Fig. 21.
Table 8 Coefficients of the BLE for the multi-layer fabric coated aluminum plate
| $V_L$ | $V_H$ | $C_L$ | $C_H$ | $S_L$ | $S_H$ | $X$ | $X_H$ |
|-------|-------|-------|-------|-------|-------|-------|-------|
| 4.73 | 6.56 | 13 | 18 | 0.12 | 0.1 | 0.48 | 0.23 |
Fig. 21 Ballistic limit curves for impact angle $\theta = 0^\circ$, $\theta = 45^\circ$ and $\theta = 60^\circ$
7 Conclusions
The ballistic limit equation plays an important role in determining the minimum shielding requirements for spacecraft. However, developing a ballistic limit equation based on hyper velocity tests is not only cost and time expensive, but also lacking of sufficient data for impact velocity higher than 7km/s due to the limitations of the experiment equipment capacity. Therefore, a validated numerical model is desirable to predict the hyper velocity impact behavior of spacecraft.
This study established a validated MPM model for the multi-layer fabric coated aluminum plate based on two hyper velocity tests. Numerical studies show that the validated MPM model can well predict the hyper velocity impact behavior of the multi-layer fabric coated aluminum plate with other impact velocities and projectile diameters. Hence, the validated MPM model can be used to provide hyper velocity impact data for impact velocity higher than 7km/s.
A ballistic limit equation is established for the multi-layer fabric coated aluminum plate for space suit design by using the hyper velocity test results for impact velocity less than 6.2km/s and the MPM simulation results for impact velocity greater than 6.2km/s. It shows that the critical diameter obtained by the validated MPM model for impact velocity less than 6.2km agrees well to the established ballistic limit equation, although which is established based on the test results for these velocity range.
The validated MPM model and the ballistic limit equation developed for the multi-layer fabric coated aluminum plate in this study provide an effective tool for the space suit design.
Acknowledgements This work was supported by the National Natural Science Foundation of China (Grant No. 11672154) and Science Challenge Project (TZ2017002).
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International Journal of Current Microbiology and Applied Sciences
ISSN: 2319-7706Volume 9 Number 8 (2020)
Journal homepage: http://www.ijcmas.com
Original Research Article
https://doi.org/10.20546/ijcmas.2020.908.362
Evaluation of Anthocorid Predators against Storage Pests of Rice in Assam Situation
D. K. Saikia and R.N. Borkakati *
AICRP on Biological Control, Department of Entomology, Assam Agricultural University, Jorhat-785 013, India
*Corresponding author
ABSTRACT
Laboratory experiment was conducted to evaluate the efficacy of two important anthocorid predators, Blaptostethus pallescens Poppius and Xylocoris flavipes (Reuter) for the suppression of stored grain pest of rice, Corcyra cephalonica Stainton. Performance of both the anthocorid bug is significant against the infestation of C. cephalonica in storage. However, due to smaller size of X. flavipes, it was better than B. pallescens to enabling them to fit in storage condition. The higher doses of X. flavipes @ 30 nymphs/100 eggs/ jar (12.75-18.00 moths/jar) and 20 nymphs/ 100 eggs/ jar (26.50- 26.75 moths/ jar) were found to be most effective in suppressing the population build-up of C. cephalonica in stored rice grain. X. flavipes with respect to nymphal survival was found to be most suitable as higher number of their living nymphs (4.50-14.25 nymphs/ jar) was recovered as compared to B. pallescens, where, negligible number of living nymphs (07.70 nymphs/ jar) was recovered. It was concluded that X. flavipes @ 30 nymphs/ jar, followed by X. flavipes @ 20 nymphs/ jar was most effective in controlling C. cephalonica in storage of rice grain.
Keywords
Anthocorid predators, Blaptostethus pallescens, Xylocoris flavipes, Storage pests, C. cephalonica
Article Info
Accepted: 24 July 2020 Available Online: 10 August 2020
Introduction
Rice moth, Corcyra cephalonica Stainton (Pyralidae: lepidoptera) is one of the most extensive feeders among the storage pests which feed on a wide variety of cereals, dried vegetable materials, dried fruits like almonds, date palm, nuts, chocolates, biscuits, oilcakes etc in India as well as in other tropical and su btropical regions of the world causing severe economic losses (Adeyemi, 1968; Hodges, 1979). In India, there are about 500 species of insects associated with stored grain products. Among these, nearly 100 species of insectpests of stored product cause economic losses (Kumar, 2015). Shukla and Toke, 2013 reported that more than 20,000 species of field and storage pests causes post-harvest loss of approximately one-third of global food production, valued economically above $100 billion per annum. The quantitative and qualitative damage by storage insect pests may vary from 20-30% in the tropical zone and 5-10% in the temperate zone (Yankanchi et al., 2014). Anthocorid bugs are important predators amongst different bicontrol agents of C. cephalonica. These, predatory anthocorids are equally effective to control different insect pests including thrips, aphids and mealy bugs in various cropping systems in the Mediterranean Basin and sub-Saharan Africa (Hernandez and Stonedahl, 1999; Sengonca et al., 2008; Zhang et al., 2012; Efe and Cakmak, 2013; Wang et al., 2014). Some indigenous anthocorids identified such as B. kumbi Rajasekhara, B. pallescens and Blaptostethus pluto (Distant) are promising biocontrol agents (Rajasekhara 1973; Muraleedharan, 1977; Jalali and Singh, 2002). A considerable amount of information has been generated at the National Bureau of Agricultural Insect Resources (ICAR NBAIR), Bangalore, on the diversity of indigenous anthocorid predators; protocols for mass rearing them have been devised and some potential ones have been successfully evaluated in the field (Ballal et al., 2012). Insect pest management through injudicious application of synthetic chemical pesticides in agriculture is facing several obstacles including, development of pesticide resistance as well as environmental pollution besides human health hazards. Therefore, biological control of crop pests may be an important alternate option for pest management in different crop ecosystems. Several anthocorids species were reported to provide control several pests (Ballal and Yamada, 2016). The predatory bug, X. flavipes has been exploited as biological control agents against stored-product pests such as bruchids, moths and mites (Murata et al. , 2007; Sing and Arbogast, 2008; Rahman et al. , 2009). Similarly, B. pallescens , a general predator with wide host range has also been reported on maize, rose, castor, grapes, bamboo (Jalali and Singh, 2002; Ballal et al., 2003; 2009; Gupta, 2009; Sobhy and Abdul-Hamid, 2014) in India. Blaptostethus pallescens has been identified as a potential bio-control agent for the management of eggs and larvae of lepidopteran pest, sucking pests like mites, thrips, mealybugs, aphids and stored insect pests (Ballal et al ., 2009; 2012; Gupta and Ballal, 2011; Lessando et al ., 2015; Kaur et al ., 2019). From another experiment conducted by Borkakati et al., (2018) , found that the highest numbers of predator was proportional to highest yield of crop.
The present study was executed to evaluate the efficacy of anthocorid predators, B. pallescensand X. flavipes against the stored rice grain moth, C. cephalonica.
Materials and Methods
The experiment was carried out at Biological Control Laboratory, Department of Entomology, Assam agricultural University, Jorhat during 2015-16 and 2016-17 session. The nucleus cultures of B. pallescens and X. flavipes along with their rearing protocol were supplied by NBAIR, Bengaluru. Mass rearing of both the anthocorids was undertaken in the biocontrol laboratory. The experiment was executed with seven treatments as well as four replications of each treatment under completely randomized block design. One kilogram of untreated rice was taken in plastic jars of two –kilogram capacity for each treatment and each container was infested with 100 numbers eggs of C. cephalonica. Seven day old nymphs of the anthocorids @10,20 and 30 nymphs per container were released. The treatments were,- T1: Release
of 10 B.pallescens nymphs; T2: Release of 20 B.pallescens nymphs; T3: Release of 30 B. pallescens nymphs; T4: Release of 10 X. flavipes nymphs; T5: Release of 20 X.flavipes nymphs; T6: Release of 30 X.flavipes nymphs and T7: Infested grain with no anthocorid predator. The jars were closed along with some pin hole for ventilation and kept at 26±1 0 C, 80±2% RH and L14: D10 photoperiod inside the laboratory. Observations recorded on the number of C. cephalonica moths (F1) and the number of live anthocorid nymphs or adults emerging after a month from each treatment, respectively.
Result and Discussion
The experiment conducted during 2015-16 indicated that (Table 1) the inoculated release of X.flavipes @ 30 nymphs per kg of stored rice (12.75 moths/ container) was significantly superior to all other treatments in reducing the emergence of C. cephalonica moths. In untreated control mean number of emergence of C. cephalonica was 70.25.However, all the treatments showed comparatively better results in reducing the emergence of C. cephalonica moths while compared to untreated control. Maximum number of living nymphs was recorded from the treatment of X. flavipes @ 30 nymphs/ container (14.25) followed by X. flavipes @ 20 nymphs/ container (9.50), whereas comparatively less number of living nymphs was observed in different treatments of B. pallescens, the maximum average emergence of living nymphs (7.70) was found in the treatment with 30 nymphs of B. pallescens.
The same experiment was also conducted again during 2016-17 for confirmatory trial revealed that (Table 1) the inoculative release of X.flavipes @ 30 nymphs per kg of stored rice (18.00 moths/ container) was significantly superior to all other treatments in reducing the emergence of C. cephalonica moths. However, B pallescens @ 30 nymphs/container and X. flavipes @ 10 nymphs / container were on par with each other (32.5 and 36.0 moth emerged respectively) in infested stored rice. On an average, the moth emergence in untreated control was 59.25. Maximum number of living nymphs was recorded from the treatment of X.flavipes @ 30 nymphs/ container (12.50) followed by X. flavipes @ 20 nymphs/ container (7.75), whereas negligible number of living nymphs was observed in different treatments of B. pallescens , the maximum average emergence of living nymphs (1.25) was found in the treatment with 30 nymphs of B. pallescens .
From the investigation carried out by Brower and Mullen (1990) and Brower and Press (1992) also revealed that the usefulness of X. flavipes as a component in integrated pest management programme of moths in peanut storage and empty corn bins. The negligible number of living B. pallescens might be due to the fact that B. pallescens can lay eggs only on plant material, while, X. flavipes can lay eggs on plain surfaces or on cotton (Ballal et al., 2003). LeCato and Davis (1973) reported that small size of X. flavipes enables them to move freely in stored grain. Further, unavailability of surviving and preferred stages of C. cephalonica eggs may lead to cannibalism amongst X. flavipes and results minuscule recovery of bioagent (Kaur and Virk, 2011). However, natural population of this predator is insufficient to maintain the target pest population below economic injury levels on several crops. Therefore, mass production and augmentative releases of natural enemies may help to maintain some of the target pests below economic injury levels (Gupta et al., 2018). It was, therefore, concluded from the experiment that X. flavipes was better than B. pallescens in controlling C. cephalonica moth infestation in stored rice in the laboratory condition.
Table.1 Effect of anthocorid predators against storage pests of rice (2015-16 and 2016-17)
| Treatments | Mean no. of | | Mean no. of living | |
|---|---|---|---|---|
| | C. cephalonica moth | | anthocorids (nymphs)* | |
| | emergence* | | | |
| | 2015-16 | 2016-17 | 2015-16 | 2016-17 |
| Blaptostethus pallescens @ 10 nymphs | 61.75b | 55.75a | 0 | 0 |
| Blaptostethus pallescens @ 20 nymphs | 53.25c | 41.25b | 5.50d | 0.75d |
| Blaptostethus pallescens @ 30 nymphs | 46.75d | 32.5c | 7.70c | 1.25d |
| Xylocoris flavipes @ 10 nymphs | 38.50e | 36.0c | 6.75cd | 4.50c |
| Xylocoris flavipes @ 20 nymphs | 26.50f | 26.75d | 9.50b | 7.75b |
| Xylocoris flavipes @ 30 nymphs | 12.75g | 18.00e | 14.25a | 12.50a |
| Untreated | 70.25a | 59.25a | 0 | 0 |
| S. Ed± | 9.30 | 2.34 | 24.40 | 0.58 |
| CV | 4.32 | 4.91 | 1.52 | 1.22 |
| CD at 5% | | 8.75 | | 21.55 |
*Mean of 4 replication)
**Means followed by the same letter in a column are not significantly different
Acknowledgement
The authors are grateful to the Director of NBAIR, Bengaluru for the necessary funding for the experiment. The authors are also indebted to the Director of Research (Agri), Assam Agricultural University, Jorhat-785 013 for their help and suggestion during the course of the investigation.
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How to cite this article:
Saikia, D.K. and Borkakati, R.N. 2020. Evaluation of Anthocorid Predators against Storage Pests of Rice in Assam Situation. Int.J.Curr.Microbiol.App.Sci. 9(08): 3180-3185.
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The International Journal of Electronic Governance (IJEG) is a fully-‐refereed quarterly journal published by Inderscience, focusing on research and practice of electronic governance worldwide. IJEG, published since 2007 and currently in its 7th volume, is indexed by Scopus, Google Scholar, the E-‐Government Reference Library and other major databases. More details on the interdisciplinary subject coverage of IJEG, submission guidelines as well as sample issues are available at http://www.inderscience.com/ijeg.
Special Issue of IJEG on Electronic Governance and Open Society: Challenges in Eurasia
Researcher, e-‐Government Center, ITMO University, Russia email [email protected] Dr. Christine Leitner, Senior Advisor, Centre for Economics and Public Administration (CEPA), UK email [email protected] Dmitrii Trutnev, Deputy Director, e-‐Government Center, ITMO University, Russia email trutnev@egov-‐center.ru
Description
This special issue aims to examine e-‐Governance developments in the vast Eurasian region that includes primarily the former communist countries of the Commonwealth of Independent States (CIS). While a broad range of e-‐Governance issues will constitute the contents of the issue, its main emphasis is placed on Open Governance; that is to say, how new digital media can – or cannot for that matter – help making the post-‐communist public governance not just effective and efficient under the traditional e-‐Government paradigm, but also open, transparent and accountable as the citizen-‐centric e-‐Democracy concept suggests. Since, in academic terms, not much research from the Eurasian region has been published in English, a major objective is to bring together researchers and practitioners from other regions as well so as to make informed and grounded comparisons of the state of play, the currently prevailing trends and future prospects to better understand the complex relationship between Electronic Governance and Open Society. Subject Coverage
The special issue welcomes literature and academic discourse based position papers, research articles and field-‐level case studies investigating electronic governance and open society challenges in Eurasia, especially the relationship between efficiency and openness in general and the post-‐communist context in particular. Topics of particular interest include, but are not limited to, the following, with a focus on the Eurasian area context: • Information Society and E-‐ Governance Policies • Open Government Prospects • Convergence in E-‐Governance Services • Citizen-‐Centric E-‐Government • Participatory e-‐Governance • Open Data • E-‐Governance and Policy Modelling • E-‐Governance and Eurasian Integration • Social Media: Tools for Analysis, Participation and Impact on Public Policies • Building Smart Cities • Smart Citizens, e-‐Inclusion and Quality of Life • Disruptive E-‐Governance • E-‐Government Infrastructures.
Notes for Prospective Authors
Submitted papers should not have been previously published nor be currently under consideration for publication elsewhere. (N.B. Conference papers may only be submitted if the paper has been completely re-‐written and if appropriate written permissions have been obtained from any copyright holders of the original paper). All papers are refereed through a peer review process. All papers must be submitted online. Please read the guidelines on preparing and submitting articles at http://www.inderscience.com/info/inauthors/author_submit.php.
Important Dates
-‐ submission of manuscripts: 31 March 2015
-‐ interim notification to authors: 30 June 2015
-‐ revised versions due: 31 August 2015
-‐ final notification to authors: 30 September 2015
-‐ final camera-‐ready versions due: 31 October 2015
This special issue is scheduled for publication during 2015/2016. Expression of interest and queries for the special issue can be directed to the guest editors.
For general inquiries regarding IJEG please contact Dr. Dimitris Gouscos, Assistant Professor, Faculty of Communication and Media Studies, University of Athens, [email protected], IJEG Editor-‐in-‐Chief.
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Your business technologists.
Powering progress
S open source solutions for bigdata management
Open Source Solutions for Big Data Management
Big Data Management is becoming a key issue in the IT world. To deal with it, the Open Source world is providing numerous solutions, often powerful, but often immature as well. In this paper, we focus on two major technologies: NoSQL solutions and MapReduce frameworks. We provide a general description of the principles behind these technologies, an overview of some of the available solutions and we discuss their capabilities and their limits.
About the Authors
Julien Carme, R&D engineer, Atos Worldline ([email protected]).
Francisco José Ruiz Jimenez, Technical Architect Manager, Atos Spain ([email protected]).
Thanks to Antoine Fressancourt (antoine. [email protected]), R&D engineer, Atos Worldline, for his support.
2
Contents
Setting the scene for the need for new means of storing data based on the rapid development of computers and the inability of computer performance to keep up with data storage requirements.
Open Source Big Data Management at Atos
Introduction
Storing Data
The limits of Relational Database Management Systems and an introduction to NoSQL solutions and how to choose them, as well as a look at the Open Source NoSQL solutions currently available.
Processing Data
This chapter investigates the MapReduce framework, Hadoop and its ecosystem, and search engines.
Atos is developing and investigating Big Data Management as key technology for future customer requirements via Atos Worldline, Atos WorldGrid, and Atos Research & Innovation.
Conclusion
A summary of issues and ideas covered in the paper.
Open-Source Solutions for Big Data Management
Introduction
Until the end of the 1990s, computer performance increased rapidly enough to meet growing data storage and processing needs.
However since then, several major changes in the IT world have dramatically increased this rate of growth. The first was the expansion of the Internet that allows global access to huge amounts of information and led to a need for efficient tools, typically search engines, to process it. The second was the rise of Web 2.0, which offers everyone the ability to generate and share their own data (i.e. blogs, YouTube, Facebook, etc.). Next will probably be the development of the Internet of Things, and Context-Aware Computing (CAC), which will bring data storage requirements and associated information processes to an even higher level.
Computer capabilities have not increased fast enough to meet these new requirements. When data is counted in terabytes or petabytes, traditional data and computing models can no longer cope.
Overload
Global information created and available storage
Open-Source Solutions for Big Data Management
The first companies to face this issue were the big Internet players: Providers of search engines and web portals, and major e-commerce players. Their answer was to develop solutions that feature horizontal scalability; that are able to scale information to arbitrarily large clusters of computers and enable performance to grow linearly with the size of these clusters.
At the beginning, these solutions were specifically developed and designed in house to run internally. Then, in order to share efforts, some open sourced their solutions and started working collaboratively on them. As a result, Open Source solutions are at the forefront of massive data management.
When data is counted in terabytes or petabytes, traditional data and computing models can no longer cope.
Storing Data
The limits of Relational Database Management Systems
NoSQL: Definition
Relational database management systems (RDBMSs) have been the main and almost sole means of data storage for almost 40 years. They are based on a firm theoretical background, and implementations, including Open Source implementations like MySQL and PostgreSQL, have reached high levels of maturity and performance.
However, RDBMSs are not horizontally scalable. They have not been designed to run on clusters of servers on which to perform masses of processes in parallel. Since their limits, in terms of performance, have been reached, alternative solutions have to be found.
Ways to distribute relational databases do exist (i.e. Oracle RAC, Sybase ASE Cluster Edition), but they come at a price in terms of features, data availability, performance, and administration cost, and do not seem to satisfy the most major Internet players. The approach most of these companies have chosen is to give up the relational model and use solutions that have been designed from scratch with horizontal scalability in mind. This is the NoSQL approach.
4
NoSQL is a movement which was originally defined in the negative: NoSQL solutions are data stores which are not based on the relational model.
However, NoSQL solutions share one common goal, the ability to handle very large quantities of data and distribute it to a large number of data servers. In order for data storage distribution to be manageable, NoSQL solutions feature, to some extent, elasticity and fault tolerance.
Elasticity is the ability to add and remove new data nodes as desired without interrupting service. This is necessary for large clusters of servers running services, typically web services, which must run 24/7. Elasticity raises nonstraightforward technical problems: Each time a new data node is added, some part of the stored data should be transferred to it dynamically in order to balance the load between data nodes, with limited impact on performance.
Fault tolerance is the ability to make data safe and as available as possible, even when hardware fails (network or data node). This is achieved through internal data replication mechanisms. On large clusters, hardware failures are unavoidable, so all NoSQL solutions feature some level of fault tolerance, as discussed in the next section.
The way NoSQL databases store data and the way the client accesses it is not unique; it depends on the data model, and therefore on the chosen NoSQL solution. More details are provided below.
The Google WebTable. Each line stores a webpage. All webpage contents are stored in a single column (labeled 'Content'). Another column (labeled 'Link: X') contains the links between pages. The cell ('Y', 'Link:X') contains, if it exists, the text of link from the website 'X' to the page 'Y'. The WebTable contains a complete copy of the Internet, billions of rows, millions of columns, hundreds of terabytes of data.
Open-Source Solutions for Big Data Management
Google WebTable: A Typical NoSQL Usage Example
The Google WebTable is the primary use for and original goal of Google BigTable, a NoSQL solution developed by Google (which is not Open Source, but has been cloned by Open Source solutions, like HBase).
It is a great example because it shows very clearly how scalable NoSQL solutions can be.
The Google WebTable stores, in one single table, a complete copy of the part of the Internet which is indexed by Google, with the complete graph of links between pages. Google crawls around the Internet in order to update this table and process it for its pagerank algorithm and to build answers to user queries.
Is NoSQL Mature for Business Usage?
Open Source relational databases are highperformance tools that have reached a high level of maturity, and for which Atos has a large number of in-house experts. These databases include a lot of features that Atos' customers require and that NoSQL solutions do not currently provide without additional client code. Typical examples include rollback capabilities, backup, and right management. In addition, consistency, as explained later in this paper, is not an issue.
NoSQL solutions are comparatively recent, have evolved quickly, but are generally considered to still be immature. They are used in production for large-scale projects; however feedback tends to show that their usage is still considered experimental. Using NoSQL solutions requires specific expertise so, often, companies using them bring in the experts who developed the solution for help.
In most situations, using NoSQL solutions instead of RDBMSs does not make sense in cases where the limits of the RDBMS have not been reached.
Although, given the current exponential growth of data storage requirements, these limits are increasingly likely to be reached in the future. Unless RDBMS evolves quickly to include more advanced data distribution features, NoSQL solutions will become more and more important.
Open-Source Solutions for Big Data Management
Choosing a NoSQL Solution: A Brief Guide
A wide range of NoSQL solutions currently exists and choosing the right one for a task can be difficult. There is a clear lack of trustable information, the field is evolving very quickly, and most observers are often users or even contributors, and therefore do not have adequate distance from the subject.
The guidelines provided in this paper are based partially on a synthesis of existing information from NoSQL users and partially from an evaluation of NoSQL solutions that Atos is currently undertaking in order to offer customers the best option to meet their requirements.
Overview of Investigated Solutions
The most well-known and recognized NoSQL solutions are being considered:
` ` HBase - Clone of Google BigTable, adapted to massive data storage based on Hadoop, developed by Powerset (acquired by Microsoft), and used by Yahoo and Microsoft.
` ` Cassandra - Similar to HBase, developed by Facebook.
` ` Hypertable - Clone of HBase claiming higher performance, supported by Baidu.
` ` Voldemort - Pure key-value store, oriented toward low latency, high performance, adapted to medium-sized clusters, developed by LinkedIn.
` ` Membase - Based on Memcache, developed by Zynga.
` ` MongoDB - Designed for storing semistructured documents, developed by 10gen.
` ` CouchDB - Another document-oriented data store, similar to MongoDB.
The Data Model
NoSQL solutions are not all based on the same data model. Understanding the differences between existing NoSQL data models and what each of these data models is used for is important in selecting the right NoSQL solution.
Existing Data Models
Four NoSQL data models exist:
Key-value stores use the most basic NoSQL data model. Key-value stores are distributed, persistent hashtables. Data is stored in small chunks (bytes or megabytes) and linked to a key. Data can be retrieved using this key. Among the NoSQL solutions investigated by Atos, Voldemort and Membase are key-value stores.
Column-oriented data stores are similar to key-value stores, except that they use bidimensional keys (rows and columns) with data stored in columns. As a result, the data stores are optimized for accessing blocks of consecutive elements in the same columns. The ancestor of column-oriented data stores is Google BigTable, which is used by Google to store a complete copy of the Internet. The most well-known Open Source NoSQL solutions are based on this data model: Cassandra, HBase, and Hypertables.
Document-oriented data stores are also based on key-value stores, but the data associated with each key is a semi-structured document (typically JSON or XML). Advanced queries based on specific properties of these semi-structured documents are available. MongoDB is the most widely used document-oriented database.
Graph-oriented databases are designed to store and query graph-structured data. The main graph-oriented database is Neo4j.
Choosing the Right Data Model
For a given application, depending on the data that has to be stored and the way it needs to be accessed, some data models are more appropriate than others. For example, storing and querying graph data is easier with a graph-oriented data store. It also offers better performance. Document-oriented databases are more suitable for storing large sets of small semistructured documents. Accessing big blocks of consecutive data can be carried out more efficiently using a column-oriented database.
In practice, NoSQL databases are often used for basic key-value storage: One key is linked to a small chunk of data, and this key is then used to write, read, or update the data. In this case, pure key-value, column-oriented and documentoriented data models work.
Scale
Even though all NoSQL solutions are scalable, not all NoSQL solutions are used at the same scale.
HBase, Cassandra, and Hypertable are used by major players with clusters of several hundred data nodes. At this size, clusters remain manageable because cluster administration does not require any task to be carried out individually on each server. Using a solution that can handle this is a reasonable approach in cases where terabytes or petabytes with millions of users need to be managed.
Voldemort, MongoDB, Riak, and Membase are different. Their administration requires more work and individual server management, which does not seem compatible with clusters of several hundred machines. Publically available feedback on the usage of these solutions involves clusters of tens of servers at most. These solutions are appropriate where a reasonable amount of data needs to be managed, typically less than a terabyte, and there is a preference for a NoSQL solution because the existing database cannot cope.
The Consistency Model
The consistency model is a technical feature that has to be taken into account in the choice of a NoSQL solution, depending on the requirements of the application.
For theoretical reasons, distributed data storage has to make a trade-off between consistency, the ability to avoid conflict during concurrent data access, and availability, the ability to always provide an answer even when hardware fails.
Some NoSQL solutions advertise high availability with reduced consistency as a constraint. These solutions are suitable in applications in which availability is crucial but conflicts are not a big issue (typically when data is not massively updated) or when it can be handled easily. Typical examples of use cases are website databases that should always be up and there are usually few data updates. Examples of solutions featuring high availability and no strong consistency are Voldemort and MongoDB.
6
Some other solutions have a stronger consistency model. HBase features a strong consistency model inside each rack (subset of a cluster comprised of servers located in the same place, therefore featuring low latency), but no strong consistency between racks.
The Cassandra approach is to make consistency customizable by the client. For each query, strong consistency, high availability, or an intermediate consistency model can be implemented.
The question of the consistency model and the various ways to solve consistency issues are major topics of debate within the NoSQL community. It is interesting to note that Facebook has recently decided to use HBase instead of Cassandra (even though Cassandra was developed by Facebook) for its new messaging system, because it believes that the HBase consistency model is more suited to this specific task.
Support and Trends
Open Source NoSQL solutions are often associated with a company which is its main user, main contributor, and often its original creator. This is the case of Cassandra with Facebook, HBase with Microsoft (since it has acquired Powerset), Hadoop with Yahoo, Voldemort with LinkedIn, Membase with Zynga, and HyperTable with Baidu.
Some other NoSQL solutions are more community-based; they are therefore not associated with a single big player. This is the case with MongoDB, which is used by a large number of Internet startups, but whose main developer is 10gen.
Having a NoSQL solution supported by major players can be considered good for future corresponding solutions. However, the field is still evolving rapidly and even big players may switch to alternative solutions if they are technically superior. For example, Facebook's current move from Cassandra to HBase means it is now putting more development effort into HBase than Cassandra.
In terms of long-term support and evolution, the current most reasonable choice seems to be HBase. Although community-based solutions like MongoDB, used by a very large number of small companies, are also likely to be well supported in the future.
Data Processing Requirements
As explained in the next section, the usual way to process distributed data uses the MapReduce algorithm. Both Cassandra and Eclipse provide a good interface for the Hadoop implementation of MapReduce. MongoDB also provides its own MapReduce scheme. Other NoSQL systems do not natively include MapReduce capabilities.
Performance
All NoSQL solutions claims to reach high levels of performance and high levels of scalability, although the few benchmarks available do not seem reliable, in particular because they are often contradictory.
Atos' ongoing evaluation of NoSQL solutions includes measuring the performance of a cluster of five quad-core servers on which each of the cited NoSQL solutions has been installed. Performance is measured by the number of queries per second that the system can handle in various scenarios: Read only, read-write, updates, read while load balancing, etc.
Preliminary results show that:
` ` Voldemort, which advertises very high performance and availability, but at a price in terms of data consistency, actually performs much better than other solutions.
` ` HBase, Cassandra, Membase, and MongoDB achieve similar results.
` ` CouchDB does not scale properly and performs much worse than other solutions.
However, it should be made clear that raw performance on a small cluster only provides partial information about real performance on a system: No indication about a solution's ability to scale on larger clusters is given.
Open-Source Solutions for Big Data Management
Open Source Solutions Summary
Open-Source Solutions for Big Data Management
Processing Data
With the ability to store data on large clusters of servers came the need for tools that would be able to process that data. In some cases, processing is part of the primary purpose, typically in the case of a search engine where answering requests requires the efficient processing of all data collected. In other cases, processing is used for data analysis, in order to extract relevant and valuable information from the stored data.
The Map Reduce Framework
MapReduce is a framework which provides the necessary tools to distribute processing tasks to an arbitrarily large cluster of computers. It was developed by Google for internal use. Google published its principles, which have since been implemented in several Open Source tools, in particular in Apache Hadoop.
Principle
In the MapReduce Framework, every data processing task is divided into two steps: the Map step and the Reduce step. In the Map step, the task is divided into independent subtasks which are executed in parallel by Map processes, running on distinct servers. In the Reduce step, results of the Map processes are recursively merged by Reduce processes, which also run in parallel on distinct servers, until the final result is computed.
For example, assume one wants to count the number of occurrences of some given strings in a NoSQL database. A split process divides the problem into autocontent data using specific criteria. In this case, the data are sentences. Each Map process counts the number of occurrences of each of the strings in a single data node. Each Reduce process adds up the outputs of Map processes for a given string.
Data Storage and Data Processing
Development Requirements
The MapReduce framework is designed to reduce data transfer as much as possible. Map processes run, where possible, on the servers on which the corresponding data is stored, and Reduce processes are placed as close as possible to the Map processes that provide the input.
In order to create this optimal environment, which is crucial for the efficiency of the system, the MapReduce framework has to be tightly linked to the data storage management system. In practice, this means that the data processing system and the data storage system must be part of the same system (this is typically the case with Hadoop and HBase) or that the data storage system has been specifically designed to interface with a given data processing system (for example, Cassandra with Hadoop).
Developing in the MapReduce framework means developers have to think in new ways. In the previous example, expressing a task as a MapReduce process is pretty straightforward, but for more complex tasks and for tasks that cannot obviously be carried out in parallel, it can be challenging. Often, a task has to be divided into a sequence of consecutive subtasks which should themselves be efficiently divided into Map and Reduce processes. In addition, running a MapReduce process requires optimization: The MapReduce framework user has, for example, to configure a balance between resources allocated to Map processes and to Reduce processes.
Usage of this kind of distributed-computing framework requires specifically trained people. There have been, however, attempts to build an abstraction layer over the MapReduce algorithm to hide its complexity. Hadoop includes some hints, which are given below.
Open-Source Solutions for Big Data Management
Hadoop and the Hadoop Ecosystem
Hadoop, and its ecosystem, is the main distributed-computing framework. It is an Open Source project supported by the Apache Foundation. Its main contributor is Yahoo, but most big players use it, including Microsoft, EBay, Google, Facebook, Amazon, Rackspace, and many others.
Hadoop includes a file system; Hadoop Distributed File System (HDFS), which allows file storage on large clusters of data nodes in a transparent way. It is a file storage system which can handle a limited number of (potentially big) files (not more than a number of millions before memory issues appear), and therefore cannot be considered to be a NoSQL solution. However, it is suitable for many data storage tasks, as long as the data can be stored sequentially. In particular, it is perfectly suitable for data stream storage, for example, for log storage.
Hadoop includes a MapReduce implementation in Java.
Hadoop comes with a set of tools, called the Hadoop ecosystem, which include:
` ` Pig and Hive - two high-level languages built over Hadoop MapReduce that hide its complexity. These tools allow users to write basic distributed data processing tasks quickly without any knowledge of distributed computing. It is estimated than 30 percent of Hadoop jobs run at Yahoo are actually Pig jobs.
` ` ZooKeeper, an administration tool for large Hadoop clusters.
` ` HBase, the Hadoop NoSQL solution built on top of HDFS, already mentioned above.
Open-Source Solutions for Big Data Management
What is Hadoop used for?
Hadoop is usually used by companies to run batch computations, in order to analyze stored data. Typical applications are:
` ` Data mining – To get relevant information about users' behavior, anomalies in a system, suspicious network access, etc. where terabytes of logs are stored.
` ` Image processing – When basic image processing services, like resizing and conversion, or more advanced processing services, like facial recognition, are provided to website users and millions of images have to be processed.
` ` Web crawling – When an application is being run, typically a specialized search engine, that needs to process large parts of the Internet, a Hadoop cluster can help.
It should be noted that the MapReduce algorithm in general, and Hadoop in particular, have been written with batch computation in mind, and are therefore not suitable for real-time computation. When real-time results are required, answers to queries should be based on results already computed and stored in a NoSQL database.
Recently, a new generation of distributedcomputing frameworks designed for real-time computation has been introduced. These include Google Caffeine and Yahoo S4, the latter has, interestingly, been open sourced by Yahoo. Yahoo S4 is presented as an Open Source distributed-stream processing platform. It is still an immature tool (still in alpha version), but is already seen by many as the future of Open Source distributed computing.
Search Engines
The role of a search engine is to process massive amounts of data and index it in such a way that it can be efficiently accessed by a large number of users simultaneously. It is therefore not surprising that, as stated above, search engines are major users of distributed-computing and storage technologies, and search engine providers were first to introduce them.
The most important Open Source project related to search engines is Lucene, which was originally implemented by Doug Cutting and has been supported by the Apache foundation since 2001. Lucene has been deployed on many websites or within enterprises as a search engine. It has also been the reference for other projects, such as Solr and ElasticSearch. Solr, also an Apache Foundation project, adds some key functionality to Lucene: Full-text search, faceted search, dynamic clustering, REST-like and JSON APIs, database integration or distributed search, none of which are provided as ore functionalities by Lucene, which just implements primary search functions without any other abstraction or integration layer.
Lucene/Sorl and NoSQL are similar in a number of ways. From a technical point of view, the non-structured storage facility included in Lucene's indexes is similar to NoSQL models (key-value or document-oriented). Indeed, there are a number of initiatives concerned with storing Lucene indexes using NoSQL storage (i.e. CouchDB). Search-engine technologies are evolving to become more distributed systems, implementing some of the key NoSQL characteristics, such as massive parallel processing, fault tolerance, distributed processes, and scalability. Solr architecture allows these mechanisms and facilitates new Open Source initiatives based on Hadoop because Zookeeper provides infrastructure to the SolrCould project, which will work as a massive distributed search engine.
Lucene/Sorl has been widely accepted as the most important search-engine solution, not only for medium-sized websites, but also for some larger ones, like Wikipedia or LinkedIn, which use Lucene for member search functionality.
Open Source Big Data Management at Atos
Atos is developing and investigating Big Data Management as key technology for future customer requirements. Both internal and global customers will require more and more data stores and the associated processes to manage huge amounts of information. Some projects and initiatives are focused on HTTS (massive transaction management) and Atos Research & Innovation, which provides high-value and technical solutions to global key customers.
Atos
Projects focused on distributed computing using some Open Source solutions have been initiated:
Customers will require more and more data stores and the associated processes to manage huge amounts of information.
BUSCAMEDIA Project
This project is a Spanish-funded R&D project the main objective of which is to provide a semantic tool to index, access, and locate media content. In order to perform the automatic categorization and annotation of media content, the technologies being applied are based on Google's MapReduce concept, using Hadoop to implement this functionality. http://www. cenitbuscamedia.es/
BEinGRID Project
The main objective of the 'Business Experiments in Grid' (BEinGRID) project is to foster the adoption of the so-called next-generation grid technologies by carrying out 25 business experiments and creating a toolset repository of grid middleware upper layers. Of these 25 experiments, one is notable; TAF-GRIDs, whose main objective was to detect Telecom Fraud where customers' usage records were exchanged, captured, stored, and analyzed among different telecom operators. The technologies used to perform the experiment were Globus Toolkit, for computational grid jobs and, OGSA-DAI, for data management. http:// www.beingrid.eu
10
Atos Worldline (HTTS)
Atos Worldline provides e-commerce solutions to several major e-sellers, in particular to the majority of French mass retail sellers. One of the main features of this kind of customer is the massive amount of users that their e-commerce websites have to handle simultaneously.
For its next e-commerce solution, Massilia, Atos Worldline is investigating the use of NoSQL solutions for some data storage tasks as NoSQL solutions are considered to store productrelated data, which is an extremely heavy load, efficiently. The Atos Worldline R&D team is currently evaluating NoSQL solutions in this context.
Atos Worldgrid
In a project for FP7, Open Node, Atos Worldgrid is working on the definition of a NoSQL storage mechanism for SmartGrid. In the context of Open Architecture for Secondary Nodes of the Electricity SmartGrid, a repository will be implemented using an Open Source Big Data solution. The repository will store a huge amount of data including all the measurements gathered from the secondary nodes. Cassandra has been chosen as the best solution for this implementation. Companies like IBD, EDF, EDP and ITE are also involved in this project (http:// www.opennode.eu/)
Open-Source Solutions for Big Data Management
Conclusion
Until recently, only a couple of big Internet players were concerned by the issue, but things are changing fast and now more companies have to handle massive amounts of data.
In addition, Atos believes that emerging fields, like Internet of Things and Context-Aware Computing, which necessarily involve the ability to manage lots of data, will become key fields in the near future.
Interestingly, most of these solutions are Open Source. This usually means that users do not depend on a single vendor, but that a higher level of expertise is required. This is a good opportunity for Atos, which can provide this expertise and help customers get the most out of these solutions.
NoSQL and distributed-computing technologies provide immature yet powerful solutions to Big Data challenges. Understanding their capabilities and their limits are key.
Open-Source Solutions for Big Data Management
11
About Atos
Atos is an international information technology services company with annual 2010 pro forma revenues of EUR 8.6 billion and 74,000 employees in 42 countries at the end of September 2011. Serving a global client base, it delivers hi-tech transactional services, consulting and technology services, systems integration and managed services. With its deep technology expertise and industry knowledge, it works with clients across the following market sectors: Manufacturing, Retail, Services; Public, Health & Transport; Financial Services; Telecoms, Media & Technology; Energy & Utilities.
Atos is focused on business technology that powers progress and helps organizations to create their firm of the future. It is the Worldwide Information Technology Partner for the Olympic Games and is quoted on the Paris Eurolist Market. Atos operates under the brands Atos, Atos Consulting and Technology Services, Atos Worldline and Atos Worldgrid.
atos.net
© 2011 Atos.
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Kevin McGinnis
Program Manager
Rural EMS and
Community Paramedicine
National Association of State EMS Officials
1
1
Three Constructs
* Community Paramedicine
* Community Paramedic
* Mobile Integrated Healthcare
Community Paramedicine
Adapting EMS resources to address community health care and/or public health needs not currently being met and embracing the "paramedic paradox" as one of those needs.
Community Paramedicine
* IS
– A generic concept
– A means to fill a temporary or on-going health care need
– Expansion of EMS roles and services
– Generally on an episodic, not case management, basis
– Leverages the 24/7 presence and mobility of EMS resources
* IS NOT
– An expansion of EMS scope of practice
– Just for the Paramedic license level
– The same in every (or any) community
– Competing for community health roles
6
Evolving Concept…..
* Community Paramedic
– A state licensed Paramedic who is certified as graduating from a recognized college program in community paramedicine and operates within the scope of practice for their licensure level.
– "General Practice" Episodic Care (e.g. Chinese Menu Approach)
7
More Recently……
* Mobile Integrated Healthcare (MIH)
– MIH is an administrative organization of multidisciplinary medical, nursing, and other practices which may or may not involve EMS paramedicine providers.
Rural and Urban
45/49 States/Territories have CP activity (92%)
Statutory Approaches
* No/Minor Statutory Changes – Delegated Practice (e.g. Texas)
* No Statutory Change/Current Definitions Work (where "emergency" not a legal factor)
* Statutory Changes Needed for Practice and/or Reimbursement (e.g. MN, ME, ND, CO, NY)
* Surveys – As long as within scope of practice
* Currently No Universal Funding Provisions
– Start-ups:
* Self-funded; Excess Capacity
* Grants
– Medicaid Policy Evolution
PART 440—SERVICES: GENERAL PROVISIONS
■ 35. Section 440.130 is amended by revising paragraph (c) to read as follows:
§ 440.130 Diagnostic, screening, preventive, and rehabilitative services.
* * * * *
(c) Preventive services means services recommended by a physician or other licensed practitioner of the healing arts acting within the scope of authorized practice under State law to—
(1) Prevent disease, disability, and other health conditions or their progression;
(2) Prolong life; and
(3) Promote physical and mental health and efficiency.
2013-2016 Community Paramedicine – Mobile integrated Healthcare: Assessment of State and State EMS Office Status
NASEMSO > Committees > CP-MIH > Documents and Resources
8
9
Nova Scotia
* Clinic Model
– 23-40 % ED Use Reduction
* Nursing Home Model – 60% ED Transport Reduction
19
Others (200+/-)
* Colorado - Public Health Nursing Partner Model
* Pittsburgh – EMed Home Health Partner Model
* San Francisco – "Frequent Flyer" Overutilization
* Wake County, NC - Redirect to Alternate Destinations (e.g. Mental Health)
* Fort Worth - MedStar
* Minnesota – Health Bus
* Maine – Pilots (Including Home Health Mediated)
10
https://www.nasemso.org/Projects/MobileIntegratedHealth/Documents-Resources.asp
11
11
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Literacy Skills Teacher's Guide for Stepping on the Cracks by Mary Downing Hahn
Book Information
Mary Downing Hahn, Stepping on the Cracks Quiz Number: 6629 Houghton Mifflin,1991 ISBN 0-395-58507-4; LCCN 216 Pages Book Level: 4.7 Interest Level: MG
In 1944, while her brother is overseas fighting in World War II, eleven-year-old Margaret gets a new view of the school bully Gordy when she finds him hiding his own brother, an army deserter, and decides to help him.
Award: BCCB Blue Ribbon Book; Misc./Other; Scott O'Dell Award; State Award
Topics: Behavior, Bullying; Interpersonal Relationships, Friendship; Mysteries, Secrets; READNOW - Demco Media Turtleback Books, Demco Media - Read Now Grades 6-8; READNOW Perma-Bound, Perma-Bound - Read Now Grades 6-8; Wars, World War II
Main Characters
Barbara (Fisher) a war widow and Stuart's friend Elizabeth Crawford Margaret's next door neighbor and best friend
Gordy Smith their classmate, a bully, and a
battered child
Lillian Baker Margaret's mother
Margaret Baker the twelve-year-old narrator of the
book
Stuart Smith Gordy's older brother
Vocabulary
battle fatigue psychological reaction to combat that leaves a soldier unable to fight conscientious objector an individual who refuses to participate in any war for any reason delirious related to a mental state marked by confusion, disorientation and hallucinations deserter a soldier who leaves his position without proper authorization
©
1999 Renaissance Learning, Inc.
furlough a soldier's officially authorized absence from duty
jitterbuga dance popular in the 1940s
pneumoniaa disease that affects the lungs
Synopsis
The novel is set in 1944 in a small, northeastern town. Its narrator is Margaret Baker, a sixth grader. Her neighbor and best friend is Elizabeth Crawford, a girl with much gumption. Their conflict with Gordy Smith, a classmate and bully, precedes the events of the novel. Their war is set against two other wars: the battles overseas, which has brothers (including the main characters' siblings) in their grip, and the war in the Smith household, where Gordy's father is a violently abusive drunkard.
Seeking revenge for previous bullying, Elizabeth coaxes Margaret to join her in a mission to trash Gordy's "secret" hut in the woods. After they do so, the girls learn a "crazy man" resides there. Gordy tries to frighten them into staying away from his hut by weaving a tale about how the crazy man will attack them. Eventually, the girls discover his true identity. Stuart Smith, Gordy's brother, has deserted from the Army rather than be sent to fight. Belatedly, he has come to the moral conclusion that all war and fighting are immoral.
Having Gordy in their control is a unique situation for the girls. Initially, they exchanged silence about Stuart for Gordy's building them a tree house. The secret, however, becomes much heavier to bear when Stuart contracts pneumonia. Willingly, the girls attempt to provide food, medicine and company to him, but Stuart's condition worsens. Desperate, they reveal the secret--with Gordy's reluctant acquiescence--to Barbara, Stuart's high school friend and a war widow. Ultimately, Barbara takes Stuart into her parents' house and nurses him back to health.
Gordy's father, meanwhile, continues to batter his family. Once recovered, Stuart becomes aware of how brutally Mr. Smith has been beating Gordy. He leaves Barbara's house to confront his father, which
Literacy Skills Teacher's Guide for Stepping on the Cracks by Mary Downing Hahn
leads to an all-out attack. Stuart is beaten senseless as he stands between his father and the rest of the family, refusing to lift a hand in his own defense. Neighbors call the police, and Mr. Smith is hauled to jail.
Gordy's mother soon leaves town with her children. Stuart has been hospitalized with his injuries. Free of their nemesis, Margaret and Elizabeth feel no joy. Margaret's own brother has been killed in the war, yet she resists her mother's views of Stuart's "cowardice." Both she and Elizabeth hope, in the end, Barbara's secret news of Stuart's proposal to her will lead to a wedding.
Open-Ended Questions
Use these open-ended questions as the basis for class discussions, student presentations, or extended writing assignments.
Initial Understanding
Why was Gordy so mean to Margaret and Elizabeth?
As an abused child of an alcoholic, Gordy had the burden of keeping the family's "secret." His beatings made him almost fearless, but friendship was truly scary to him. Not only was it difficult for him to know how to treat people decently, if he did befriend the girls, their sympathy for him could have been very dangerous. When Mrs. Baker tried to help, the end result was more beatings from his father. Even in the savage scene when his mother must lock the children upstairs as Mr. Smith rages, she was reluctant to holler out the window for help. Gordy's anger was one way of protecting himself from "help."
©
1999 Renaissance Learning, Inc.
Literary Analysis
Why might the author have chosen Margaret as her narrator for this story?
Margaret is the character who changes the most. In the beginning, she is fearful and relies on Elizabeth and her parents to guide her thinking and actions. By the end of the novel, she not only makes up her own mind about Stuart's view of war, she argues outspokenly with her mother against the idea that he was just a coward. Her mother slaps her for it, but the slap does not force Margaret to change her mind since she is now just a tiny bit like Gordy. She has started to grow up, and her character best shows how hard a thing that is to do.
Inferential Comprehension
Was Stuart a coward, as Mrs. Baker believed at the end of the novel? Why or why not?
The author plainly intends Mrs. Baker's view of Stuart to be seen as inadequate. She is reacting more from her grief over her son's death in action than from a full appreciation of Stuart and his beliefs. The fact that Stuart confronted his father and took such a severe beating without fighting back showed that he was willing to act on his belief that violence is never justified. A coward would have either avoided Mr. Smith or pummeled him.
Constructing Meaning
Why did Margaret find Stuart's ideas about the war persuasive?
When she thought about them in the light of her own feelings, particularly toward her brother's death, they made more sense to Margaret than did the medals and patriotic slogans her parents showed her. One very important fact in her change of mind was that she began to see Stuart as her brother, Jimmy, had seen him. Jimmy was not only Stuart's friend, but his childhood protector. Margaret realized that her brother always saw Stuart as different from other boys, and she connects Stuart's beliefs with her brother's friendship toward him. Unlike her parents, she feels that standing up for Stuart's rights honors, rather than shames, her brother's memory.
Literacy Skills Teacher's Guide for
Stepping on the Cracks by Mary Downing Hahn
Teachable Skills
for several of the book's figures, including Margaret's brother, Jimmy, despite the fact he never truly appears.
Understanding Hist./Cultural Factors Like Margaret's parents and most of College Hill in this book, history tends to cast World War II as "The Good War." You may want to prompt students to examine the legal and historical background of "conscientious objectors" more fully. Beyond thoughtful discussion, research might include the status of that classification in other wars. During Vietnam, for example, Stuart's dilemma would have been much more widely appreciated. Down in My Heart, by the poet William Stafford, is a fine account of his personal history in "The Good War" as a conscientious objector.
Understanding Hist./Cultural Factors Radio is featured throughout the book as a force in people's lives. Mr. Baker listens for the war news, Mrs. Baker has her favorite dramas, and the children often tease each other by making references to The Shadow or other shows. Some discussion of the world before TV might be illuminating to your class. Some listening to tapes of old radio shows might even introduce a general discussion of how differences in media affect our culture and our lives.
Extending Meaning Gordy's dilemma toward Stuart and his father is one of the book's strongest features. As a writing assignment or discussion topic, you might give students some opportunity to generate options for help or action that Gordy never sees or seizes. In follow up activities, the ideas could be measured against changes in domestic violence laws and social perceptions. In College Hill, for one example, we saw that neighbors and the police were helpless to intervene. What about Mrs. Wagner, the teacher? What about the responsibilities of schools today in such cases?
Responding to Literature One interesting topic from this book might be to ask who is the most "heroic" character? Either before or after broaching the topic, you could engage students in an analysis of the qualities that make a person or a character "heroic." Cases should be available
©
1999 Renaissance Learning, Inc.
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1-KNOT
empowering solutions
ABOUT US
With professional experiences over 20 years, we provide Instrument and Control solutions for the Energy industry, specializing in Oil & Gas and Water sectors. Passionate engineers formed 1-Knot in view of providing right solutions that meet requirements, fulfilling quality and safety standards. This is achieved with our engineering ideology of RGB™. The solutions provided are fueled with process knowledge that we, as instrumentation and automation engineers, have gained over the years. This drives us to serve our customers with exceptional solution needs.
VISION
To empower solutions
Mission
Provide solutions that meet customer requirements as well as international/local standards, fulfilling quality and safety requirements.
Why choose 1-KNOT
- We love what we do
- We truly care about your needs
- Leave it to us – we support standing by your side
- Our promise to meet your requirements
Values
- **Reliable** – Our solutions and products are designed as trustworthy, catering to customer requirements while meeting relevant standards and specifications.
- **Share** – To make the marketplace better for future generations, we are rooted by sharing knowledge gained through education and experience.
- **Engage** – A culture unique to 1-KNOT that embraces and engages employees to be part of our long run.
Solutions
Our turnkey I&C solutions in the areas of metering blending and process automation comes with our years of experience and knowledge. It starts from feed engineering, detail engineering, procurement, construction, commissioning and also continues to install base support.
**Metering Solutions**
Custody transfer flow metering matters when it concerns buying and selling oil & gas. It is beyond possessing international and local standards but the in-depth immense understanding and experience is what matters when it comes to a successful metering and blending solutions.
With our extensive experience in handling and successful execution of metering projects we provide solutions standing by your side rather on manufacturer side hence creating avenues to increase your profitability.
**Blending Solutions**
In-line blending is a method to increase the efficiency of products, especially crude. The dynamic control to ensure the end product meets the necessary parameters such as density, viscosity.
Our in-line blending solutions can cater up to 5 streams with efficient recipe control and trim control with no off-spec product. The solution becomes complete with our 1-Knotrol™ blending controller.
**Turnkey I&C Works**
Our key strengths enhance our success in handling turnkey I&C works:
- Engineering to RGB™ Ideology
- Process Knowledge in Oil & Gas and Water industry
- Project management & risk management
- Collaboration with product manufacturers
- Construction arm
- QHSE management
- Install base support
1-KNOTROL™
In-line blending controller that is suitable for hazardous area outdoor installation with control features up to 5 streams and customisation option for more. The quick recipe control and smarter trim control with our unique piping arrangement gives no off-spec end product. The controller comes with touch screen for easier user interface and remote diagnostic port. Communicate to plant DCS through Modbus TCP/IP, Serial or OPC.
Options available:
- Mounting features for wall and pole
- Self-powered using solar cells for remote installations
- Expandable number of streams
QHSE POLICY
QUALITY POLICY
Provide Reliable Solutions which fits the purpose or exceed expectations allowing us to Knot with customers.
HSE POLICY
We are committed to provide a safe, healthy and friendly workplace for all our stakeholders. Health and Safety being our prime prerogative, we integrate them in all our business processes.
AUTHORIZED SYSTEM PARTNERS
RHEONIK
THE CORIOLIS EXPERTS
BOPP & REUTHER MESSTECHNIK
Turbine & PD Flowmeters / Densitometers / Strainers
Schneider Electric
Nirmal
Expertise that delivers
Pressure Control Valves / Breather Valves / Flame Arrestors
REGIONAL COLLABORATING ASSOCIATES
CONTACT US
Postal Address: 1-KNOT Pte Ltd.,
PRIMZ BizHub,
#04-30, Room C,
21 Woodlands Close
Singapore – 737854
Website: www.1-knot.com
Telephone: +65-65216854
+65-90607042
E-mail: [email protected]
[email protected]
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The following is an excerpt from VSP-DIR-136, Tattoos and Body Modification, as relates to new members hired after Monday, July 1, 2019. The section in the full policy begins with 4.2(E) and continues through 4.2(F)(4):
A. Sworn members, hired after July 1, 2019
1. While on-duty, no sworn member, hired after July 1, 2019, shall have uncovered any tattoo or other body modification on a portion of the body that is visible while wearing the Class "C" summer uniform or ANY other authorized uniform or attire.
2. Any sworn member, hired after July 1, 2019, having such tattoo(s) or body modification(s) upon a visible portion of the body shall cover such mark(s) via the use of a flesh-tone or solid black covering(s) that shall be provided by the Department. Members performing an assignment requiring civilian attire may alternatively choose to conceal the tattoo or body modification in entirety with an article of civilian business attire. It shall not be necessary for a sworn member, hired after July 1, 2019, to cover a pre-existing commitment band on the ring finger.
a. Sworn members required to wear such coverings shall ensure the coverings remain clean, in good working condition, are free of any designs or logos, and are presentable to the public when worn.
b. Such covering(s) shall be subject to inspection by a supervisor to ensure compliance and satisfactory appearance.
c. With written authorization from the Troop/Unit Commander, so long as the functionality of the covering is not compromised in any manner, a sworn member may request a different size of the supplied covering. All coverings must continue to conceal all markings and must remain at least six (6) inches in length.
d. The coloring of a flesh-tone covering shall match closely the skin tone of the member wearing the covering.
3. The Commander of the Office of Professional Development, or designee, shall be responsible for scheduling a time to document via photograph all existing tattoos and/or body modifications to a part of the body visible in the Class "C" summer uniform or ANY other authorized uniform of any sworn member hired after July 1, 2019. This shall be accomplished prior to field assignment.
a. The photographs shall include:
i. The name of the member;
ii. The date the photo was taken;
iii. A description of the tattoo(s) and/or body modification(s);
iv. The size and location on the member.
b. The photographs and any related notations shall be documented as part of the member's Official Personnel File.
B. Applicants
1. As part of the application process, any individual seeking employment as a sworn member of the Department shall be screened to assess whether he or she is in compliance with this policy.
a. Applicants will be supplied the definitions established in this policy and be required to disclose in writing ALL tattoo(s), branding(s), scarification(s), body piercing(s) or other body modifications regardless of location on the body on the Personal Integrity Questionnaire.
2. If an applicant is found to be in violation of this policy, it will be explained that the applicant may, at his or her sole discretion, have the non-compliant tattoo(s), branding(s), scarification(s), or body art or visible portion thereof, removed at his or her own expense and to the satisfaction of the department.
3. Should an applicant express a willingness to remove a non-compliant tattoo(s), branding(s), scarification(s), or body art, his or her application will be placed on hold until the removal process is completed and a re-evaluation for policy compliance has occurred.
a. Any portion of the application process that is deemed to have expired while an application is on hold under this provision, shall again be satisfactorily completed by the applicant.
4. Removal of any markings will not per se absolve the applicant of being deemed as having such affiliation or adherence to said philosophies, organizations or activities that may be apparent in any phase of the selection process.
The following definitions are contained in the updated policy:
2.1 Tattoo means a permanent mark on the skin created by puncturing the skin and inserting pigment, dye, or other substance to establish a design, form, figure, or art.
2.2 Branding means the intentional burning of the skin to establish a design, form, figure, or art.
2.3 Scarification means the intentional cutting of the skin to establish a design, form, figure, or
2.4 Gauging means gradually increasing the radius of an opening in the flesh in areas such as the ear lobes.
2.5 Body modification means but is not limited to; tongue splitting or bifurcation, the complete or trans-dermal implantation of any object(s) (other than hair replacement); abnormal shaping of the ears, eyes, nose; abnormal filing of the teeth; branding; scarification; or gauging.
A. The definition of body modification includes facial piercings to include, but not limited to, tongue piercings, lip piercings, nose piercings, and brow piercings.
B. Body modification shall not include those procedures which are medically necessitated by deformity or injury, or generally accepted changes/augmentations performed by a licensed medical professional.
2.6 Extremist tattoos, scarifications, or brands are those affiliated with, depicting, and/or symbolizing extremist philosophies, organizations, or activities. Extremist philosophies, organizations, and activities are those which advocate racial, gender and/or ethnic hatred or intolerance; advocate, create, or engage in illegal discrimination based on race, color, gender, ethnicity, religion, sexual orientation, or national origin; and/or advocate violence or other unlawful means of depriving individual rights under the U.S. Constitution, Federal, or State law. For purposes of this policy, extremist shall also include indecent, sexist, or racist.
A. Indecent tattoos, scarifications, or brands are those that are grossly offensive to modesty, decency, or propriety; shock the moral sense because of their vulgar, filthy, or disgusting nature or tendency to incite lustful thought; or tend reasonably to corrupt morals or incite libidinous thoughts.
B. Sexist tattoos, scarifications, or brands are those that advocate a philosophy that degrades or demeans a person based on gender or gender identity, but that may not meet the same definition of "indecent."
C. Racist tattoos, scarifications, or brands are those that advocate a philosophy that degrades or demeans a person based on race, ethnicity, or national origin.
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NEWS RELEASE
For Immediate Release
407 International Reports Third Quarter Results
TORONTO, October 27, 2021 - 407 International Inc. (the "Company") announced today revenues of $333.1 million for the third quarter of 2021, compared to $265.7 million for the same period of 2020. Earnings before interest, taxes, depreciation and amortization ("EBITDA" 1 ) totalled $289.2 million for the third quarter of 2021 compared to $226.6 million for the same period of 2020. The Company reported net income of $106.6 million for the third quarter of 2021, compared to a net income of $49.1 million for same period of 2020.
The Board of Directors declared an eligible dividend of $0.387 per common share, payable on or about October 27, 2021 to shareholders of record on October 27, 2021.
COVID-19 PANDEMIC
During the third quarter of 2021, traffic volumes were higher by approximately 24% as compared to the same period in 2020. As a result of increased vaccination rates, the Province of Ontario has entered step 3 of reopening non-essential businesses and schools and further relaxed COVID-19 restrictions. Despite the impact of the COVID-19 pandemic on overall traffic volumes and revenues, the Company maintains sufficient liquidity and expects to be able to satisfy all of its obligations in 2021.
ABOUT 407 INTERNATIONAL
The Company is owned by indirectly owned subsidiaries of Canada Pension Plan Investment Board (total 50.01%), also known as CPP Investments; Cintra Global S.E., a wholly owned subsidiary of Ferrovial S. A. (43.23%); and SNC-Lavalin (6.76%).
For more information, contact:
Investors: Geoffrey Liang Chief Financial Officer
Tel: 905-265-4070
Media:
Christina Basil
Director, Communications and Government Relations
Tel: 905-264-5232
News releases are available at 407etr.com.
1 EBITDA is not a recognized measure under International Financial Reporting Standards and investors are cautioned that EBITDA should not be construed as an alternative to net income or cash from operating activities as an indicator of the Company's performance or cash flows. The Company's method of calculating EBITDA may differ from other companies' methods, and may not be comparable to measures used by other companies.
Highlights
(Unaudited)
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DEPARTMENT OF CALIFORNIA HIGHWAY PATROL
PROPOSED TEXT
TITLE 13, CALIFORNIA CODE OF REGULATIONS, DIVISION 2, CHAPTER 6.5, ARTICLE 6, ADD SECTION 1294
CHILD SAFETY ALERT SYSTEMS (CHP-R-2017-05)
.
Existing text: ...................................... Times New Roman 12 point font.
Additions: ........................................... Times New Roman 12 point font with single underline
Deletions: ........................................... Times New Roman 12 point font with strikethrough
Title 13, California Code of Regulations, Chapter 6.5. Motor Carrier Safety Article 6. Carrier Requirements
§ 1294. Child Safety Alert Systems
(a) On or before the beginning of the 2018–2019 school year and continuously thereafter, unless otherwise excepted, all school buses, school pupil activity buses, youth buses, and child care vehicles subject to this chapter shall be equipped with a child safety alert system meeting the requirements of this section. The beginning of the school year shall be determined by the county superintendent of schools, the superintendent of any school district, or the owner or operator of any private school. The requirement is applicable to any vehicle transporting pupils to or from school or a school activity, based on the school year of the school attended by the pupils transported.
(b) Upon movement of the vehicle, the child safety alert system shall be automatically activated. The device need not activate for the first three minutes of vehicle movement or prior to the time the vehicle reaches a speed of 10 miles per hour, whichever occurs first. When not more than three minutes have elapsed or the vehicle reaches a speed of not more than 10 miles per hour, the child safety alert system shall be automatically activated and require the driver to manually contact or scan the device prior to exiting the vehicle. The device shall not be equipped with any method to deactivate the device except as provided within this section.
(c) Following activation of the child safety alert system as required by (b), within not more than three minutes of the time the vehicle is stopped, the parking brakes are applied, the ignition is in the off position, and all floor level doors are closed, the child safety alert system shall cause a tone, a flashing light, or both to be emitted from the vehicle. The tone or flashing light shall be
audible or visible at least 50 feet from the vehicle with all doors and windows in the closed and locked position. Notwithstanding any permitted time delay, an activated child safety alert system shall immediately cause the required audible or visible warning, or both to be emitted when any floor level door is opened. The device shall cause continuous emission of the required audible or visible warning, or both, for not less than 30 continuous minutes. Driver manual contact with or scanning of the device shall deactivate the device and cause the audible and visible warning to cease. Once active, the device shall not deactivate under any circumstance unless the vehicle is stopped, the parking brakes are applied, the ignition is in the off position, and all floor level doors are closed.
(c)(1) The device may be connected to a flashing red light signal system required by section 25257 CVC, or other required or permitted device to preclude the emission of warning tones or flashing lights while the driver is actively engaged in loading, unloading, or escorting pupils as required by law. The device shall remain activated as required by this section unless and until the driver manually contacts or scans the device. Following manual contact or scanning of the device, the device shall again be activated upon subsequent movement of the vehicle.
(c)(2) Child safety alert systems may be designed in a manner which delays the audible or visible warning for not more than three minutes from the time the vehicle is stopped, the parking brakes are applied, the ignition is set to the off position, and all floor level doors are closed, until the time the tone, flashing lights, or both begin to be emitted. The tone, flashing lights, or both shall cease upon manual contact or scanning of the device by the driver.
(c)(3) When the device is configured with only flashing lights, the light shall be visible from any location within the interior of the vehicle and for 360 degrees around the exterior of the vehicle. Vehicle headlamps, tail lamps, or other required exterior lighting devices may be used in fulfilling the exterior visibility requirement. The vehicle horn required by section 27000 CVC may be used to fulfill the tone emitting requirement.
(c)(4) The child safety alert system shall be designed so that when the device is activated, the vehicle is stopped, the parking brakes are applied, the ignition is in the off position, and all floor level doors are closed, sufficient lighting is immediately provided within the interior of the vehicle to facilitate a full and thorough inspection of the interior of the vehicle, including but not limited to interior package carrying areas, under all seats, and throughout the driver compartment. The required interior lighting shall remain illuminated for not less than one minute following deactivation of the device and shall be extinguished automatically. Interior lights required by Section 1217 of this chapter may be used in fulfilling this requirement.
(c)(4)(A) When the design of a vehicle precludes configuration of the device to ensure illumination of the interior of the vehicle as required, the driver shall be responsible to ensure sufficient illumination is provided. Any design preclusion shall be certified by the vehicle manufacturer or an independent engineer, in writing. A legible copy of the certification shall be carried on the vehicle. The original certification shall be retained by the vehicle operator or motor carrier for the duration of time the vehicle is in their possession and transferred to the next operator upon sale or change of possession of the vehicle. The legible copy or the original shall be made available for inspection by any authorized employee of the department, a parent, or
guardian of a pupil transported on the vehicle, or any interested member of the public.
(d) The child safety alert system shall be permanently mounted at the rearmost portion of the interior of the vehicle in a manner which ensures the device remains secure during all normal modes of vehicle operation. The device and mounting shall be secure, resistant to tampering, and of sufficient strength and durability to withstand normal and anticipated movement of the vehicle without detriment to the device or mounting integrity.
(e) A child safety alert system shall be capable of operation under all reasonably anticipated conditions of temperature, time, vehicle loading, or vehicle status. Any such device may be powered by mechanical, electrical, or electro-mechanical means of sufficient measure to ensure the device and all required warning tones and lamps function as required and remain in operation for the duration required by this section. The device may be connected to the vehicle electrical system for power or functionality, but shall not require any item or element of design required by the Federal Motor Vehicle Safety Standards, any requirement of law, or any regulation to be disabled, removed, or rendered ineffective.
(f) Any malfunction of the child safety alert system shall be documented and retained by the motor carrier or operator of the vehicle for not less than two years. Documentation shall include a description of the malfunction, any repairs or adjustments made to restore correct functionality, and be made available for inspection upon request of any authorized employee of the California Highway Patrol.
(f)(1) A driver who encounters any device malfunction shall immediately report the malfunction to the motor carrier or operator of the vehicle. The report may be made initially via radio or other electronic communication. When verbal or other electronic notification is made, the driver shall also note the malfunction on the driver's vehicle condition report required by section 1215, or other document submitted to the motor carrier or operator of the vehicle, to ensure proper notification.
(g) Definitions. For the purpose of the section, the following definitions apply.
(g)(1) Child safety alert system is an electronic, mechanical, or electro-mechanical device, installed at the rearmost portion of the interior of the vehicle which requires the driver to manually, electronically, or a combination of manually and electronically contact the device prior to exiting the vehicle. The term electronically contact means swipe or scan as defined in (g)(3) of this section.
(g)(2) Manually contact means the driver makes physical contact with the device for the purpose of interacting with it. This contact may take the form of pushing a button, entering a unique personal identification code, or other means of ensuring the driver contacts the device in a manner which is recognized by the device.
(g)(3) Swipe or scan the device means the driver interacts with the device by means of a card or other electronic or electro-mechanical device, or the device conducts biometric identification of an individual person in a manner which is recognized by the device. Swiping or scanning the
device must require the driver, card, or other device to be within not more than six inches of the device and prohibits the use of any device which permits deactivation of the device in any manner not permitted or required by this section.
(g)(4) Prior to exiting the vehicle means the vehicle is stopped, the parking brakes are applied, the ignition is in the off position, all floor level doors are closed, and prior to the time the driver exits the vehicle by means of a floor level door. A driver loading or unloading pupils, or escorting pupils pursuant to Section 22112 CVC, is not deemed to have exited the vehicle for the purpose of this section.
(g)(5) Active, activate, or activated means the child safety alert system is armed and will cause a tone, a flashing light, or both to be emitted from the vehicle under the conditions and in the manner required by this section. Any device so activated shall require the driver to manually contact or scan the device prior to exiting the vehicle.
(g)(6) Audible or visible warning means the tone, flashing lights, or both required by this section.
(f)(7) Flashing lights means lighting devices which operate at a rate of 60 to 120 flashes per minute, with a 40 to 60 percent on-time under all operating conditions.
(g)(8) Tone means an audible sound which is readily recognizable as a warning. The tone may be unvarying, variable, or discontinuous sound which repeats at a rate lower than 90 cycles per minute. The sound frequency including any harmonics shall be lower than 100 hz or higher than 5,000 hz.
Note: Authority cited: Sections 28160, Vehicle Code. Reference: Sections 28160, and 34506, Vehicle Code.
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Course Description
Course: KUB201v1.2 Kubernetes Administration
Course Overview
This two day course is designed for system administrators, DevOps, system engineers and others who need an introduction to Containers, Kubernetes.
Training Level:
Intermediate
❏
Duration:
2 days
❏
The course begins with an introduction to containers and container orchestration. Students will then learn about and explore Kubernetes, including launching applications, configuring networking, storage and security, and using Helm to deploy applications. The course includes comprehensive presentation content to introduce new concepts and processes and extensive hands-on experience.
Key Objectives
Attendees will be taught the following concepts and skills:
❏ Containers and Orchestration Concepts
❏ An Introduction to Kubernetes
❏ The Basics of Kubernetes
❏ Kubernetes Cluster Administration
❏ Networking, Storage and Security for Kubernetes
❏ Helm and Helm Charts
Audience
This course is designed for system administrators and others who want to administer Kubernetes.
Prerequisites
Attendees should have familiarity with the Command Line, Linux System Administration skills and attention to details. SUSE Certified Administrator (SCA) in Enterprise Linux or SUSE Certified Linux Engineer (SCE) in Enterprise Linux certification or level of experience recommended.
Course Outline
❏ Section 1: Course Introduction
Understand the Course
❏ Section 2: Introduction to Containers and Container Orchestration
Understand Container Concepts
Understand a Microservice Architecture
Understand Kubernetes
❏ Section 3: Kubernetes Administration
Understand SUSE Rancher Kubernetes Offerings
Understand Basic Kubernetes Commands
Work with Namespaces
Understand Kubernetes Manifests
Understand Multi-pod Deployment
Work with Deployments
Configure Networking for Applications
Use Environment Variables with Applications
Use ConfigMaps
Work with Secrets in Kubernetes
Work with Labels and Selectors
Configure Node Affinity in Kubernetes
Scale Out Applications
❏ Section 4: Application Management in Kubernetes with Kustomize
Understand Kustomize Concepts
Use Kustomize to Deploy Applications
Understand Basic Helm Concepts
❏ Section 5: Application Management in Kubernetes with Helm
Manage Applications with Helm
❏ Section 6: Ingress Networking with an Ingress Controller in Kubernetes
Understand Ingres Networking for Applications
Work with an Ingress Controller
❏ Section 7: Storage in Kubernetes
Understand Kubernetes Storage Concepts
Work with Persistent Storage in Storage Classes
❏ Section 8: Resource Usage Control in Kubernetes
Understand Resource Usage Control in Kubernetes
Work with LimitRanges
Work with Resource Quotas
❏ Section 9: Role Based Access Controls In Kubernetes
Understand Role Based Access Controls
Authenticate to a Kubernetes Cluster
Configure RBAC in Kubernetes
www.suse.com
SUSE Training
Information about SUSE Training can be found at:
https://training.suse.com
Contact [email protected] with any questions.
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Data Quality WG
Q1 2022 Updates
Clair Blacketer
Let’s Go Back…To The Future
Engineering open science systems that build trust into the real-world evidence generation and dissemination process
‘System’ required elements:
- Required phenotypes
- Analysis specifications
- Decision thresholds
Distributed data network, standardized to common data model
Network coordination
Data quality evaluation
Research question → Database diagnostics
Phenotype development and evaluation
Cohort definitions & → Cohort diagnostics
Analysis reliability evaluation
Analysis design choices → Study diagnostics
Final unblinded results
System characteristics:
• Standardized procedures with defined inputs and outputs
• Analysis packages implementing scientific best practices consistently applied across all data partners, generating consistent output for network synthesis
• Reproducible outputs generated by open-source analysis libraries developed and validated with verifiable unit-test coverage
• Pre-specified and objective decision thresholds for go/no go criteria
• Measurable operating characteristics of system performance
Engineering open science systems that build trust into the real-world evidence generation and dissemination process
System characteristics:
- Standardized procedures with defined inputs and outputs
- Analysis packages implementing scientific best practices consistently applied across all data partners, generating consistent output for network synthesis
- Reproducible outputs generated by open-source analysis libraries developed and validated with verifiable unit-test coverage
- Pre-specified and objective decision thresholds for go/no go criteria
- Measurable operating characteristics of system performance
Database Diagnostics
Does a database have the necessary elements required to perform a study?
Database Diagnostics
Does a database have the necessary elements required to perform a study?
Are those elements of a high enough quality such that we can trust the evidence generated?
Database Diagnostics
Does a database have the necessary elements required to perform a study?
Are those elements of a high enough quality such that we can trust the evidence generated?
2022 OKR: Data Quality
1. Design and Implement the Data Quality Evaluation Step of the OHDSI Evidence System
1Q2022 Key Results:
1. Given a database has necessary elements to run a study, design a study-specific filter for the DQD.
2. Close at least 50% of issues and pull requests on the DQD github, prioritizing high-need bugs and new features added by Odysseus.
3. Update documentation to reflect the new features in the DQD application.
|
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Final
47th Plenary meeting 30-31 March 2021, Remote
Some points have been redacted from these minutes as their publication would undermine the protection of one or more of the following legitimate interests, in particular: the public interest as regards international relations; the privacy and integrity of the individual regarding the protection of personal data in accordance with Regulation 2018/1725; the commercial interests of a natural or legal person; ongoing or closed investigations; the decision-making process of the EDPB, in relation to matters upon which a decision has not yet been taken and/or the decision-making process of the EDPB, in relation to matters upon which a decision has been taken.
1 Adoption of the agenda, Information given by the Chair
1.1 Draft agenda of the 47th EDPB meeting – adoption
The draft agenda was adopted without modifications.
2 Current focus of the EDPB members
2.1 Joint EDPB/EDPS opinion on the proposals of Regulations re the "Digital Green Certificate" – discussion and adoption
The Chair and the EDPS thanked the rapporteurs for the work carried out on the draft Joint Opinion.
The lead rapporteur presented the EDPB-EDPS Joint Opinion on the Digital Green Certificate, including a description of its aim and structure. It was underlined that despite the short deadline set by the Commission, the EDPB and EDPS effectively cooperated to issue this Joint Opinion on a sensitive legislative proposal. It was also highlighted that in the most recent version of the draft some of the suggestions shared by EDPB members were implemented.
The members of the EDPB discussed some aspects of the document, in particular relating to the role of the certificates and their possible further use for purposes other than facilitating the free movement between Member States, as well as the relationship between the EU framework and possible national legislation referring to certificates. Other members expressed strong objections towards the possibility of allowing reuse of data by Member States for purposes other than those outlined in the draft legislation.
A number of textual changes were introduced in the draft Joint Opinion, including addition of a clear indication that all three types of certificates should be accepted and clarification of the wording regarding the risk of possible discrimination.
Following the aforementioned discussion on whether the Joint Opinion should call to limit the purpose of processing to free movement among Member States or rather support the possibility for Member States to authorise further use of the Digital Green Certificate for other purposes with specific safeguards, the EDPB members were asked to vote between these two options. The rapporteurs were therefore kindly asked to introduce the necessary changes in the text of the draft Joint Opinion, in advance of the second part of the meeting scheduled for the following day. The Chair also asked the members to send any additional comments in writing.
An updated version of the document was circulated ahead of the second day of the meeting. The lead rapporteur presented the changes made to the text following the decision taken during the first day of the meeting. The members continued the discussions on the text of the draft Joint Opinion. Among other issues and textual changes that were agreed on, it was re-affirmed that the proposal cannot allow for and must not lead to the creation of any sort of personal data central database at EU level. In addition, minor changes regarding references to the risk of discrimination and categories of entities that can verify the certificate, were introduced. One member suggested changes regarding the need for specific data fields to be included in the certificate and it was decided to underline in the Joint Opinion that the legislative proposal should provide additional substantiation in its recitals as to the need for the inclusion of such data fields.
The Joint Opinion was adopted by the members of the EDPB unanimously. The EDPS confirmed that he would sign the Joint Opinion, as agreed by the EDPB, as well. The Chair thanked the rapporteurs and the Members for the discussion and for the work done.
Annex: Attendance List
SAs:
AT SA, BE SA, BG SA, CY SA, CZ SA, DE SA, DK SA, EDPS, EE SA, EL SA, ES SA, FI SA, FR SA, HR SA, HU SA, IE SA, IS SA, IT SA, LI SA, LT SA, LU SA, LV SA, MT SA, NL SA, NO SA, PL SA, PT SA, RO SA, SE SA, SI SA, SK SA
- European Commission
- Permanent Observers: MLD SA, ALB SA, SRB SA
- EDPB Secretariat
2
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Department 116 Natural Resource
Premium: Blue 2.00, Red $1.50, White $1.00
- Bird Study-Please note if a birdhouse, feeder or nest box is completed as a wood science project, it should be entered into section 9. It will be evaluated wood working criteria. If it was as part of a natural resource project, it will be evaluated on use, appropriate construction, youth's knowledge on the item and how it is used
Section 1-Enviromental Education
1. Nature Trails-Display of constructed nature trail or observation made along another trail
2. Geology-Simple collection must include the specimen's names, dates of collection, specific site(s) of collection (distance and direction to nearest town, county, state or providence) and collector's name for 10 specimens. Inclusion of field journals is strongly encouraged and identification criteria must be completely and clearly defined. Exhibits showing evolutionary histories adaptations of fossil organisms, vertical or horizontal studies of strata, or similar studies are encouraged
3. Field Identification Projects-Collections of preserved specimens, photographs or sketches properly labeled and showing identification criteria may be displayed for any habitat in New York, consult your local Department of Environmental Conservation for guidelines and permission in collecting specimens from the wild. Collection should have a 10 specimen minimum
4. County-or self initiated projects that relate to environmental education. Examples include but are not limited t interpretation of aerial photographs, vegetation, maps, plant adaptations, demonstrations of ecological principals; or computer models like GIS. Transfer of display ideas and concepts from other project area is encouraged
Section 2 Fisheries and Aquatic Resources
1. Exhibits may be displayed or records of any fisheries and Aquatic Resources related activities including but not limited to fishing techniques, aquatic sampling methods, aquatic insect ecology, habitat improvement of fisheries management and biology. Dip nets, such dishes and aquatic food chair display
2. Fly tying: at least 2 different files tied by the exhibitor, mounted and labeled
3. Projects related to fish or fishing, including aquaculture, commercial fisheries, sport fisheries or related equipment skills or observation, fishing rod/poles, fishing lures, life cycle of fish, fish identification chart, fishing knots and fishing hook display fish prints
Section 3 Forestry
1. Know your trees: a collection of leaves and twigs from at least 6 specimens; fruit may be included. Must be properly pressed, mounted, identified, and labeled
2. Backyard Maple Syrup: an example of maple syrup, maple sugar, or maple cream by exhibitor, bring 2 samples one for display and one for sample
3. Displays and presentations may be based upon, but are not limited to, the following projects: firewood identification of lumbar, common tree pests or diseases, forest management plan
Section 4 Resource Based Education
1. Shooting Sports-any exhibit or record based upon content of an accredited shooting sport FIREARMS. program of any of the NYS DEC certificate program. Such as homemade bows, arrows, and a display on parts of a gun, safety. NO AMMUNITION OR ACTUAL FIREARMS.
2. Other Outdoor Recreation-Exhibits based upon related outdoor recreation activities, e.g. orienteering cross country skiing, snowboarding, wilderness camping, or outdoor cookery
3. Open Class-This class is on option for exhibits deemed to be worthwhile but fall outside the categories described above. This class is also expected to follow the project story requirement listed at the beginning of this section
1. Bird Study-Consult Bluebirds of N.Y. Society or any other bird materials for exhibit ideas. Nests or egg displays, different types of birdseed, how different beaks and bills or feet, migration, pathways, bird count dairy, bluebird, nest boxes, wood duck houses, nesting platforms
2. Trapping Furbearers-Exhibits based upon NYSDEC Trapper Training Program are acceptable, as are displays of equipment, pelt preparation, and discussions of the role of trapping in wildlife management
3. Mammals of Oswego County-display of 10 mammals of Oswego County highlighting either: 1) habitat and diet, 2) tracks, 3) scat. Can include photos (drawn, photographs or clippings from magazines) of the mammals.
4. Other Wildlife Projects-exhibits based upon New York's wildlife resources: bat houses, butterfly houses, invasive species, endanger species, animal lifecycles, and other wildlife projects
Section 6 Solid Waste
1. Exhibits based on recycling or composing projects in the home or community
2. Clothing and other items created using post-consumer waste materials
Section 7 Open Class
1. This class is an option for exhibits deemed to be worthwhile but fall outside the categories described above. This class is also expected to follow the project story requirement listed at the beginning of this section.
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Specifications
Auxiliary Voltage:
Optional Aux. Voltage:
24, 48 or 110VDC (Fuse 2A)
100-120V, 200-240V,
380-415V, 440-460 or 480VAC
40-70Hz (Fuse 0,5A)
Supply tolerance:
± 10%
Power rating:
1,5VA
DC Input signal:
0-100VDC
(up to 2000VDC via HV adapter)
Contact rating:
AC: 100VA -250V/2A max.
DC: 50W -100V/1A max.
Adjustments:
Trip level High: Trip delay High:
Hysteresis High:
Trip level Low:
Trip delay Low:
Hysteresis Low: Analogue outputs:
0-100% of FSD
(FSD = Full Scale Deflection)
0-30 secs 2-50% of FSD (on non lachting relays)
0-100% of FSD
0-30 secs
2-50% of FSD(on non lachting relays)
(other on request)
Up to 20mA, max 500ohm
Up to 10V, min 100kohm
Temperature:
-20 to +70ºC
0.64kgs
IP52 (IP65 optional)
Weight: Front protection:
The unit meets EN 61010-1 Cat. III, Pollution degree 2 and the relevant environmental and EMC tests specified in EN 61326-2-4 to comply with therequirementsofthemajorClassificationSocieties.
Relatedinformation:
TheKPV4xserieisalsoavailableforrailmountingasKCV4xserie.
KPV4x
*
DC Voltage Guards
* up t Direct input o 100VDC, up to 2000VDC with HV adapter
* Two individually settable relays
* Triple relay for more flexibility
* One fast response analogue output (<50mS), F-versions
Application
TheKPV4xisadigitallycontrolledguardformonitoringofbatterysystemvoltage.
An AC or DC auxiliary voltage is required for the unit. A green LED indicates POWER on. Start of monitoringfunctionis delayedwhenpowerisswitchedon(default2secs delay).Inthiswayfalsetripping duringpowerupisavoided.
The precision DIN96 moving coil meter reads the monitored parameter, and has low-reflection glass to easereadingatadistance.
The units three C/O relay outputs are configured as Low, High trip and Trip Status (R3). The triple-zone statusLEDsataglancegivestheclearsafetymessage:
-HIGH
-NORMAL -LOW
F The standard version has no analogue output. The optional -version has an isolated analogue output signalproportionaltometerdeflection(seepage4foravailableoutputs).
The trip levels and trip delays are user settable on unit rear to suit most applications (see relay operation onpage2&3).
Red relay trip lamps flash instantly (approx. 1 flash per second) when the trip level is passed, the relay trips after elapsed delay. The lamp changes state and the trip relay operates after the pre-set delay. If a tripconditionendsduringthedelayinterval,thetimerwillautomaticallyreset.
As standard the unit is supplied for automatic reset. Manual reset (latching relays) is optional (All Gversions).
Relay Configurations
The relay operation is delayed in the arrow direction, the reset is instantaneous.
Both trip levels can, independently, individually set over the scale range(0-100%FSD).
Page: 1 of 4
REF: Datasheet.KPV4x - REV: 2.02/11.2021
© All rights reserved to Megacon
Megacon reserves the right to make any changes to the information at any time
Description
KPV401x
Over and Under DC Voltage Guard
A DC voltage guard for any scale range up to 100VDC. The unit is used for protectionandmonitoringofbatteries.
KPV402x
Over and Under DC Voltage Guard
Input from voltage divider for any voltage range.The unit is used for protection and monitoringofbatteries.
Upto200VDCviaHVadapterRH200Sseries.
KPV404x
Over and Under DC Voltage Guard
Input from voltage divider for any voltage range.The unit is used for protection and monitoringofbatteries.
Upto400VDCviaHVadapterRH400Sseries.
KPV408x
Over and Under DC Voltage Guard
Input from voltage divider for any voltage range.The unit is used for protection and monitoringofbatteries.
Upto800VDCviaHVadapterRH800Sseries.
The MEGACON policy is one of continuous improvement, consequently equipment supplied may vary in detail from this publication.
Relay Operation
KPV4x
Relay Configuration: Differential
| Relay | Low | High | Fail Safe | Latch | Adjustable Hysteresis |
|---|---|---|---|---|---|
| R1 | | X | | X | X |
| R2 | X | | | X | X |
R3
X
X
X
X
Model
Latch Output
-
-
-
X
X -
KPV401E
KPV401F
KPV401G
KPV401GF X X
Relays shown de-energised. R3 are fail-safe and Hysteresis High: 2-50% of FSD
Adjustments Trip level
Delay
Low:
00%
0-30secs
High:
100%
0-30secs
Hysteresis Low: 2-50% of FSD
0-1
0-
energises whenunitispowered.
Relay Configuration: Differential
| Relay | Low | High | Fail Safe | Latch |
|---|---|---|---|---|
| R1 | | X | | X |
| R2 | X | | | X |
R3
X
X
X
X
Model
Latch Output
-
-
-
X
X -
KPV402E
KPV402F
KPV402G
KPV402GF X X
Relays shown de-energised. R3 are fail-safe and
Adjustments Trip level
Delay
Low:
00%
0-30secs
High:
100%
0-30secs
Hysteresis Low: 2-50% of FSD
Hysteresis High: 2-50% of FSD
0-1
0-
energises whenunitispowered.
Relay Configuration: Differential
| Relay | Low | High | Fail Safe | Latch | Adjustable Hysteresis |
|---|---|---|---|---|---|
| R1 | | X | | X | X |
| R2 | X | | | X | X |
R3
X
X
X
X
Model
Latch Output
KPV404E
KPV404F
KPV404G
Adjustments Trip level
Delay
Low:
00%
0-30secs
High: Hysteresis Low:
100% 0-
0-30secs
2-50% of FSD
0-1
KPV404GF
- -
X
X
-
X
-
X
Relays shown de-energised. R3 are fail-safe and energises whenunitispowered. Hysteresis High: 2-50% of FSD
0
Relay Configuration: Differential
| Relay | Low | High | Fail Safe | Latch | Adjustable Hysteresis |
|---|---|---|---|---|---|
| R1 | | X | | X | X |
| R2 | X | | | X | X |
R3
X
X
X
X
Model
Latch Output
-
-
-
X
X -
KPV408E
KPV408F
KPV408G
KPV408GF X X
Relays shown de-energised. R3 are fail-safe and Hysteresis High: 2-50% of FSD
Adjustments Trip level
Delay 0-30secs
Low:
00%
High:
100% 0-
0-30secs
Hysteresis Low: 2-50% of FSD
0-1
energises whenunitispowered.
Page: 2 of 4
Innovation Beyond Tradition
Uniquely MEGACON, simpler it can't be!
0
0
0
Description
KPV410x
Over and Under DC Voltage Guard
Input from voltage divider for any voltage range.The unit is used for protection and monitoringofbatteries.
Upto1000VDCviaHVadapterRH1000Sseries.
KPV412x
Over and Under DC Voltage Guard
Input from voltage divider for any voltage range.The unit is used for protection and monitoringofbatteries.
Upto1200VDCviaHVadapterRH1200Sseries.
KPV416x
Over and Under DC Voltage Guard
Input from voltage divider for any voltage range.The unit is used for protection and monitoringofbatteries.
Upto1600VDCviaHVadapterRH1600Sseries.
KPV420x
Over and Under DC Voltage Guard
Input from voltage divider for any voltage range.The unit is used for protection and monitoringofbatteries.
Upto2000VDCviaHVadapterRH2000Sseries.
The MEGACON policy is one of continuous improvement, consequently equipment supplied may vary in detail from this publication.
Relay Operation
KPV4x
Relay Configuration: Differential
| Relay | Low | High | Fail Safe | Latch | Adjustable Hysteresis |
|---|---|---|---|---|---|
| R1 | | X | | X | X |
| R2 | X | | | X | X |
R3
X
X
X
X
Model
Latch Output
-
-
-
X
X -
KPV410E
KPV410F
KPV410G
KPV410GF X X
0
Relays shown de-energised. R3 are fail-safe and energises whenunitispowered. Hysteresis High: 2-50% of FSD
Adjustments Trip level
Delay
Low:
00%
0-30secs
High:
100%
0-30secs
Hysteresis Low: 2-50% of FSD
0-1
0-
Relay Configuration: Differential
| Relay | Low | High | Fail Safe | Latch | Adjustable Hysteresis |
|---|---|---|---|---|---|
| R1 | | X | | X | X |
R3
X
X
X
X
Model
Latch Output
KPV412E
KPV412F
KPV412G
KPV412GF
Relay
R1
R2
R3
Model
KPV416E
KPV416F
KPV416G
KPV416GF
- -
X
X
-
X
-
X
Relays shown de-energised. R3 are fail-safe and
Adjustments Trip level
Delay
Low:
00%
0-30secs
High:
100%
0-30secs
Hysteresis Low: 2-50% of FSD
Hysteresis High: 2-50% of FSD
0-1
0-
energises whenunitispowered.
Relay Configuration: Differential
High
X
X
X
0
Fail Safe Latch Adjustable Hysteresis
X
X
X
X
X
Relays shown de-energised. R3 are fail-safe and Hysteresis High: 2-50% of FSD
Adjustments Trip level
Delay
Low:
00%
0-30secs
High:
100% 0-
0-30secs
Hysteresis Low: 2-50% of FSD
0-1
energises whenunitispowered.
Relay Configuration: Differential
| Relay | Low | High | Fail Safe | Latch | Adjustable Hysteresis |
|---|---|---|---|---|---|
| R1 | | X | | X | X |
| R2 | X | | | X | X |
R3
X
X
X
X
Model
Latch Output
KPV420E
KPV420F
KPV420G
KPV420GF
- -
X
X
-
X
-
X
Relays shown de-energised. R3 are fail-safe and energises whenunitispowered. Hysteresis High: 2-50% of FSD
Adjustments Trip level
Delay
Low:
00%
0-30secs
High:
100% 2-50% of FSD 0- 0-30secs
Hysteresis Low:
0-1
Page: 3 of 4
Innovation Beyond Tradition
Uniquely MEGACON, simpler it can't be!
Low
X
X
Latch
- -
X
X
Output
-
X
-
X
0
0
Analogue Output
KPV4x
All have an analogue output proportional to meter reading. The signal is specifically intended as input to a control system or for remote monitoringofthemeasuredparameter.Otheroutputsavailableonrequest. F-versions
Addsuffixfromtablebelowtotypedesignationtospecifyoutputrequired:
O/P5
O/P10
N/A
4,3-20mA
RelayReset Any latched relay is reset by linking terminals 29 and 30 or by interrupting the voltageinputtoterminal1.
- Direct input up to 100VDC to term. 9 & 10
- Up to 2000VDC via RHxS Adapter
(see RHxS models below)
Reset: only latching versions
High Voltage Adaptors up to 2000VDC for KPV4x series
- HV Adaptor for DC Voltage Guards - RHxS series, up to 2000VDC Voltage
VoltageAdaptorsRHxSseriesareusedforVoltageGuardKPV4xwhenthemonitoredvoltageishigherthan100VDC.
Theseadaptersareapassiveresistornetworkandarepottedinpolyurethane.
Dimensions
The MEGACON policy is one of continuous improvement, consequently equipment supplied may vary in detail from this publication.
Innovation Beyond Tradition
Uniquely MEGACON, simpler it can't be!
ORDERING EXAMPLE:
Type:
KPV412F 24VDC From RH1200S 0-1200V (O/P3) 4-20mA
Aux. Supply: Input signal:
Scale: Analogue O/P:
|
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Copyright is owned by the Author of the thesis. Permission is given for a copy to be downloaded by an individual for the purpose of research and private study only. The thesis may not be reproduced elsewhere without the permission of the Author.
EDUCATIONAL TURBULENCE
AND
NEW ZEALAND ARMY CHILDREN
A thesis presented in partial fulfilment
of the requirements for the degree
of Master of Arts in Psychology
at Massey University
Daniel Arthur Kewin
1978
ABSTRACT
Military employment involves a high rate of geographic mobility which, it is often presumed, disadvantages service children educationally. This cross-sectional study was undertaken to empirically evaluate this presumption by comparing, in relation to educational turbulence, the academic achievement and personalities of 84 army and 130 civilian children. Relationships between parental attitudes to military and itinerant employment and the children's academic achievement were also investigated.
The Form II subjects of both sexes attended six selected schools; three predominantly populated by army children and three predominantly populated by civilian children. The civilian and army groups were comparable in terms of age, gender, socio-economic status, ethnicity and school environment.
Official school records provided biographic and mobility (number of schools attended) data as well as Progressive Achievement Test raw scores on the Reading Comprehension, Reading Vocabulary, Listening Comprehension and Mathematic tests. The Junior Eysenck Personality Inventory was used to measure the children's degree of extraversion-introversion and neuroticism-stability. A self administered Parent Questionnaire collected educational turbulence data in terms of mobility and the amount of short and long term absence of the father from home. Four attitude scales were constructed within the Parent Questionnaire to measure parental attitudes towards:
(a) The effects of mobility on education
(b) The effect of the service environment on the family
(c) Involvement in their children's education and
(d) Shifting the family home.
Army children were found to have experienced more than twice as much educational turbulence as the civilian children. There was no evidence however that they achieved less academically than comparable civilian children; nor did the groups differ on the personality dimensions of extraversion-introversion and neuroticism-stability. Furthermore, no strong and consistent relationships between parental attitudes measured and the children's academic achievement were found. There is however some evidence that army children whose parents believe the military environment detrimentally effects the family achieve higher academic results, most apparent in Mathematics Test performance, than those army children whose parents do not. It is suggested that compensatory efforts may be made by some army parents for the perceived deleterious effects of the service environment.
The findings are discussed in relation to previous research and the New Zealand context.
ACKNOWLEDGEMENTS
Dr. Ross St. George, thank you for your willing practical and scholarly advice throughout this project.
The success of a study of this nature depends upon the co-operation and assistance of many people. I am particularly indebted to the principals and the pupils of participating schools, and of course to the parents who so conscientiously completed the Parent Questionnaires.
I would also like to thank Ms. R. Rosenbrook for her valued clerical assistance, Mrs. P. Masson for administering the JEPI, Mr. C. Reid for his computer instruction, and Mrs. M. McAusland for her diligent attention to the final typescript.
I wish to acknowledge the permission given by Messrs. Mackay and Spicer to adapt some of their survey instruments.
Ruth, your motivating and sustaining support is unvaluable, thank you.
# TABLE OF CONTENTS
| Section | Page |
|----------------------------------------------|------|
| ABSTRACT | ii |
| ACKNOWLEDGEMENTS | iv |
| LIST OF TABLES | vii |
| LIST OF APPENDICES | x |
| CHAPTER 1 LITERATURE REVIEW | 1 |
| 1.1 Introduction | 1 |
| 1.2 Turbulence and Children's Academic Achievement | 5 |
| 1.3 Turbulence and Children's Personal Development | 12 |
| 1.4 Parental Influence on Children's Academic Achievement and Personal Adjustment | 16 |
| 1.5 Summary | 19 |
| CHAPTER 2 METHODOLOGY | 24 |
| 2.1 Hypotheses | 24 |
| 2.2 The Sample | 25 |
| 2.3 Variable Descriptions | 27 |
| 2.4 Measuring Instruments | 29 |
| 2.5 Data Collection | 39 |
| 2.6 Data Transformations | 40 |
| 2.7 Sample Characteristics | 41 |
| CHAPTER 3 RESULTS | 45 |
| 3.1 Hypothesis 1 | 46 |
| 3.2 Hypothesis 2 | 48 |
| 3.3 Hypotheses 3 | 52 |
| 3.4 Hypotheses 4 | 54 |
| 3.5 Hypothesis 5 | 58 |
| 3.6 Extreme Attitudes | 60 |
| Section | Page |
|------------------------------------------------------------------------|------|
| 3.7 Other Findings Arising From a Study of the Data | 68 |
| 3.8 Multiple Regression Analyses | 75 |
| CHAPTER 4 DISCUSSION AND CONCLUSION | 84 |
| 4.1 Summary of Conclusions | 93 |
| APPENDICES | 95 |
| REFERENCES | 121 |
| TABLE 1 | Correlations Between PAT and Abilities Tests | 33 |
|---------|--------------------------------------------|----|
| TABLE 2 | Percentages of Maoris and Europeans in Army and Civilian Subsets of the Total Sample | 42 |
| TABLE 3 | Percentages of Males and Females in Army and Civilian Subsets of the Total Sample | 42 |
| TABLE 4 | Number of Schools Attended by Civilian and Army Children | 47 |
| TABLE 5 | Statistical Test of Significant Difference Between Mean Number of Schools for Army and Civilian Children | 47 |
| TABLE 6 | Amount of Father Absence for Civilian and Army Children | 49 |
| TABLE 7 | Correlations Between Types of Turbulence for Civilian, Army and the Total Sample of Children | 49 |
| TABLE 8 | Correlations Between Turbulence and PAT Standard Scores for Civilian, Army and the Total Sample of Children | 51 |
| TABLE 9 | Summary Statistics of PAT Standard Scores for Civilian and Army Children | 53 |
| TABLE 10 | Correlations Between Attitude Scales and PAT Standard Scores for Civilian, Army and Total Sample Children | 56 |
| TABLE 11 | Summary Statistics for JEPI Scores for Civilian and Army Children | 59 |
| TABLE 12 | Summary PAT Statistics for Civilian, Army and Combined Sample Children Whose Parents Hold Extreme Attitudes About the Effects of Mobility on Education (Scale 1) | 64 |
| TABLE 13 | Summary PAT Statistics for Army Children Whose Parents Hold Extreme Attitudes About the Effects of the Service Environment on the Family (Scale 2) |
|----------|----------------------------------------------------------------------------------------------------------------------------------|
| TABLE 14 | Summary PAT Statistics for Civilian, Army and Combined Sample Children Whose Parents Hold Extreme Attitudes About Involvement in Their Child's Education (Scale 3) |
| TABLE 15 | Summary PAT Statistics for Civilian, Army and Combined Sample Children Whose Parents Hold Extreme Attitudes About Shifting the Family Home (Scale 4) |
| TABLE 16 | Summary Statistics of Civilian Maori and Army Maori Children |
| TABLE 17 | Summary Statistics of Civilian European and Army European Children |
| TABLE 18 | Summary Statistics for Maori and European Children for the Combined Sample |
| TABLE 19 | Summary Statistics for Boys and Girls on Various Dimensions |
| TABLE 20 | Matrix of Correlation Coefficients Between PAT Standard Scores and Several Independent Variables |
| TABLE 21 | Multiple Regression Analyses - Reading Vocabulary |
| TABLE 22 | Multiple Regression Analyses - Reading Comprehension |
| TABLE 23 | Multiple Regression Analyses - Mathematics |
| TABLE A | Summary Statistics of Extreme Groups for the Attitude Scales for Civilian and Army and Total Sample Children | 112 |
|---------|---------------------------------------------------------------------------------------------------------------|-----|
| TABLE B | Summary Statistics of Extreme Attitude Groups Determined by Parameters of Each Group of Civilian, Army and Total Sample Children | 113 |
| TABLE C | Summary Statistics for JEPI Scores for Males | 114 |
| TABLE D | Summary Statistics for JEPI Scores for Females | 115 |
| TABLE E | Multiple Regression Analyses - Listening Comprehension | 116 |
| TABLE F | Multiple Regression Analyses - Neuroticism | 117 |
| APPENDIX | Description | Page |
|----------|--------------------------------------------------|------|
| A | Parent Questionnaire | 95 |
| B | Attitude Scales 1 to 4 | 108 |
| C | Extreme Attitude Group Summary Statistics | 112 |
| D | JEPI Summary Statistics for Each Sex | 114 |
| E | Multiple Regression Tables for Listening Comprehension and Neuroticism | 116 |
| F | Junior Eysenck Personality Inventory | 118 |
CHAPTER 1
LITERATURE REVIEW
1.1 Introduction
Geographic mobility is becoming an increasingly important feature of modern life. In an historically oriented review of international mobility Schaller (1972) reported that today's rate of geographic mobility exceeds that of all the great migrations in the past. Toffler (1970) described the situation in modern societies,
As technological change roars through advanced economies outmoding whole industries and creating new ones almost overnight, millions of unskilled and semiskilled (and skilled) workers find themselves compelled to relocate...the disruption is often agonising. (pp. 87-88)
Geographic mobility usually involves residential relocation that can bring about a stressful situation in which the individual may perceive a threat that he will fail to cope with the change to a new environment, or a challenge to find a new and rewarding way of life. The extent to which an individual succumbs to the threat, is stimulated by the challenge, or vacillates between these two states depends upon a complex set of interactions between certain characteristics of the individual and his environment. Some of these will be examined in this thesis.
Geographic mobility often includes the following kinds of concomitant movement: social mobility; between classes and ethnic groups, occupational mobility; by promotion or in peripatetic employment, residential mobility; between neighbourhoods, states or countries, and economic mobility; as career success or failure and world
trends determine. These kinds of mobility are interrelated in that a change in one usually induces change in another. The aspect of geographical mobility investigated in this study is that which brings about residential change.
Some groups in modern society including labourers, civil servants, and professionals in the promotion stakes, regularly experience the disruption associated with geographic mobility and consequent residential change because of their employment. The peripatetic group in society focused upon in this study is the military community.
Geographic mobility is a fact of military life. Indeed it is one factor that differentiates military families from the community at large in most developed countries, and New Zealand is no exception. Although military families are not unique in this regard they do experience geographic mobility at frequent and sometimes erratic intervals as a condition of employment.
The New Zealand Ministry of Defence gives recognition to the problem of mobility when summarizing policy about this condition of Service in the Manual of Personnel Administration,
The necessity for postings stems, in the main, from changes in emphasis in Service activities, releases, training requirements, promotions and the rotation of overseas posts. Every effort is made to restrict postings to the bare minimum since it is recognised that they frequently interfere with personal activities and, to a married serviceman, are disruptive to family life...
Servicemen will not, therefore, be posted unless there are valid Service reasons for doing so,
and in general this should be no more frequently than once every two to three years. (Ministry of Defence Manual of Personnel Administration, 1976, paragraph 7001)
This acknowledged disruption in the family life of servicemen has ramifications for all members of the family, whose needs sometimes conflict with the acknowledged requirements of national defence. The family members whose needs seem to be furthest removed from national defence considerations are the children. Yet, as they have the least amount of control over their living environment and assumedly less developed coping mechanisms, they are the most vulnerable to the effects of disruption.
The stresses children experience because of geographic mobility may include the move to an unfamiliar neighbourhood, a new school, new teachers, the loss of old friends and the need to make new ones. They must adjust to new school courses, methods, and social contacts. Not only must children cope with all of these stressful situations, they must do so at a time when their parents, the most stable and secure sources of support in an otherwise disrupted environment, are preoccupied solving their own problems associated with geographic mobility.
How do the children cope with this acknowledged disruption in their lives? The writer, when a military psychologist, was often confronted by parents, teachers and professionals in the helping services, whose personal experiences with service children in schools and in psychiatric clinics led them to believe that generally the children do not cope well with their peripatetic life.
The success or failure of children in coping with the stresses of geographic mobility is alleged to be manifest in their academic achievement, behaviour, and personality development. This belief has generated discussion and empirical studies that have contributed to the growth of a body of literature pertaining to children's success and failure in adjusting to frequent geographic mobility. That literature is reviewed below.
In the literature the terms mobility and turbulence have not been used consistently and are indeed employed interchangeably. This may be a result of the varying hypothetical constructs of the authors, the uncertainty of what variables are subsumed under each term and the differing attempts to quantify them. In an effort to alleviate this confusion the author will use the terms in the following ways except when directly quoting another author.
Mobility is used to describe residential change by the family regardless of the cause. The concept of turbulence is more general and is used to describe any or all of the sources of stress from change associated with a peripatetic life. These sources of stress include mobility and parental absences, uprooting of the family from their established home, school and social environments, the number of teachers the children have had, and losses such as that of friends, a familiar environment, and so on. Which aspect of turbulence is addressed is explained in each study cited.
The studies reviewed have been chosen to highlight the important factors that may be involved in any relationship between turbulence and the academic achievement of service children. It is recognised that not all stress within military life is related to turbulence.
However, as turbulence is generally considered a major source of stress in military life, and it is a feature that differentiates military from civilian employment, turbulence is treated as an important independent variable in this investigation.
Early research into the effects of mobility on children generally focused on children's academic achievement, probably because such achievement is most readily quantified. Theoretical and practical developments in the behavioural sciences later gave researchers the means to measure various aspects of children's personality development. This aspect of their development in relation to mobility then became the focus of interest when searching for empirical evidence of the effects of mobility that were intuitively suspected. Further development in the behavioural sciences, together with a perplexing situation in which inconsistent and contradictory results were often obtained, finally led researchers to consider the academic achievement of highly mobile children to be a product of complex interactions between the personal characteristics of the child and environmental situations.
The literature outlined in this review follows this general pattern of development. That is, this review moves from mobility studies of academic achievement alone, to those looking at mobility and personality development in isolation, to those taking the more eclectic approach of the 1970's.
1.2 Turbulence and Children's Academic Achievement
Early discussions about the relationship between "irregular schooling" and "backwardness" eventually led to some empirical studies by Burt (1937), Hill (1939), and Schonell (1942). These men documented
case studies of backwardness and identified frequent changes of school as a contributory cause of backwardness, generally taken to mean below average achievement. However in an early New Zealand study Winterbourn (1944) found the opposite. He concluded that school change was not a major factor contributing to backwardness, though he assumed that few children in New Zealand experience much school change.
In the United States Gilliland (1959) cited in McCubbin, Dahl and Hunter (1976) examined the relationship between transiency and academic achievement using an intelligence quotient (IQ) as an intervening variable. He found transient children were significantly ahead of nontransient children in mean and in total academic achievement. Furthermore an increase in IQ and the number of schools attended was accompanied by an increase in the difference of the scores for transient and nontransient children.
Williams (1961) cited in Richie (1965) studied a large group of British Service children in Germany and expanded the measure of turbulence to include the number of schools attended by each child (Gilliland's transiency) and the number of teachers the child had. He obtained measures of intelligence, and English and arithmetic attainment, and related these to the turbulence measure. Williams concluded that there was no clear relationship between number of schools or teachers and attainment on these measures at the time of the children's entry into secondary school. Nonetheless, in a survey of parents and teachers, Williams found the widespread belief that school changes were detrimental to children's educational progress.
The Central Advisory Council for Education (England) (1967, also known as the Plowden Report) in a comprehensive investigation of children and their primary schools, identified service children as a
specific problem group. The report noted that "There is evidence of serious backwardness among Army and Air Force families in areas with large service populations and high turnover of pupils and teachers" (p.60).
Turning now to North American research Kenny (1967) studied a large sample of United States military personnel he regarded typical of middleclass America, who were living in a military community in Germany. He looked for differences between military and civilian communities in the areas of mobility, intelligence, academic achievement and personal adjustment of the children. In summary Kenny found that: military rank of the father had no significant effect on adjustment of children; military children had a higher mean IQ and better school achievement record; there were fewer emotionally disturbed children in the military community, and those military children who were emotionally disturbed tended to internalize their disturbances in the form on withdrawal behaviour; and the sex ratio for disturbance was the same in military and civilian communities.
Kenny referred back to a study by Gabower (1960) who investigated behaviour problems of children from United States Navy families and noted her conclusion:
Children in Navy families are subject to the same general conditions as are all children of the United States, but they also experience other environmental and social situations which are characteristic of Navy life. Principle among these are the many moves the family makes causing changes for the child in home, school, neighbourhood and friends, and separation of the father from the
family as necessitated by his duty assignments.
(Gabower, 1960, p.177)
It was Gabower's contention that these differences are superficial to the basic parent-child relationship, and she argued that "The behaviour of the child is more closely related to the way in which the parents deal with him than to conditions of the physical environment to which he is subjected" (p.61).
While accepting the importance of the parent-child relationship to explain the differences in adjustment of children in military and civilian communities Kenny suggested there is a more basic difference between the two types of communities. He pointed out that the military is a select group in terms of intelligence and education. Kenny supported this view with the fact that fifty percent of those eligible for the military draft in the United States were rejected mainly for reasons of intellectual or emotional defects.
Argument about the uniqueness of the military community lies beyond the scope of this thesis. Although the interested reader is referred to Janowitz (1960), Lyon and Oldaker (1967), Blockberger (1970) and Dixon (1976) for discussion of this issue.
Bourke and Naylor (1971) analysed teacher assessed educational achievement measures of Australian Army children and concluded that "For most subjects the majority of students in the majority of States (of Australia) did not differ significantly in achievement with respect to their movement category" (p.115). Life Williams (1961) Bourke and Naylor found that most parents believed changes of school harmed children's academic achievement. But they did not necessarily believe their own particular children had suffered as a result of changing schools.
Francis (1971) studied the effects of mobility on the dependent children of Servicemen in the Canadian Forces. He found that the reaction of the parents to the move and their ability to cope with the associated stresses were more important than the actual factor of mobility.
Families of high socioeconomic status and those upwardly mobile through promotions, have often acquired the ability to adjust to new situations better than families of low socioeconomic status, and usually transmit this ability to their children.
(p.21)
Francis concluded that mobility did not effect intelligence though it did have some effect on academic achievement. Furthermore he argued that academic achievement was subject more to other influence such as home and school environment and the characteristics of the child itself than to mobility. Francis postulated that the mobility factor aggravated and magnified any existing but manageable problems until they created academic difficulties. For Francis the significance of mobility is that it works indirectly.
The wide range of potentially detrimental effects that mobility might have on Service children was outlined by Manning (1972) in an Australian report, "Because of shifting, the Service dependents are at a distinct liability in both terms of education and vocational, physical, and personal and social development" (p. 12).
In a similar but more specific prescription Firth (1974), who has published several literature reviews and suggestions for dealing with the problem of turbulence in the British military and education systems, concluded "Turbulence appears in particular to handicap young children,
pupils of below average ability and attainment in cumulative skills, such as arithmetic" (p.170).
In recent years Win investigated some of the effects of mobility on Army children in New Zealand. Win (1972) studied Army children in one school and found that a group of children in Forms I and II who attended four or more schools had a higher proportion of below average achievers than a group of children who attended three or less schools. In 1974 Win again studied academic achievement and personal adjustment as assessed by teachers using a behaviour questionnaire, of 78 children at the same Army Camp school as his 1972 study. He found school or teacher change had no effect on the social adjustment or academic achievement of either army or civilian children.
It seems then, that the research about mobility and turbulence effects on academic achievement is equivocal. Bourke and Naylor (1971) aptly described the state of the research to that date.
For twenty eight separate, well-controlled studies undertaken in Britain and the U.S.A. the results were as follows:
a. five studies found mobile students had higher achievement than static students;
b. eleven studies found no differences in achievement between mobile and static students; and
c. twelve studies found mobile students had lower achievement than static students. (p.2)
Since then possibly the most comprehensive investigation into the effects of military turbulence on children has just been concluded. This is the study titled *Educational Turbulence Among Australian*
Servicemen's Children (ETASC) by Mackay and Spicer (1975b) which has served in part as a model for the present study.
The ETASC study was a conjoint project directed by the Australian Departments of Education and Defence, and Monash University. The aim of the study was to investigate the nature and effects of posting (military job transfer) turbulence on the education of service children and to recommend action to alleviate any disadvantages they might be found to experience.
This large scale project was cross-sectional in design. Personal history, adjustment and achievement information was collected from parents, teachers, principals, and children by means of interviews, questionnaire surveys, and a testing programme of 13,981 servicemen's children throughout Australia, Malaysia, Singapore and Papua New Guinea. The study also included a small control group of non-service children.
The conclusion of the study was that:
There is no evidence that turbulence produces consistent and lasting effects of either a beneficial or harmful kind in any of the following areas:
a. attainment in various curriculum areas
b. interest in various curriculum areas
c. preferences for styles of handling information
d. social development, leisure-time activities, and attitudes to change. (Mackay & Spicer, 1975a, p.5)
The ETASC study is the most recent and comprehensive publication about the effects of turbulence on service children and this investigation is a partial replication of the ETASC work in the New Zealand context.
Additionally the present study examines parents' attitudes to mobility and to the Army, and the relationship of these attitudes to their children's academic achievement. The present study also compares the academic achievement of army children relative to a comparable civilian group in New Zealand. Specific findings of the ETASC study will be referred to throughout this thesis as they relate to aspects of the present study.
1.3 Turbulence and Children's Personal Development
Awareness of the relationship between turbulence and personal adjustment of children has been generated by case studies of children referred to clinics for psychological assessment. An early important study was that of Murphy and Zoobuck (1951) who studied 50 consecutive children referred to a military child guidance clinic because of school adjustment problems. They rank-ordered those factors of military life that appeared to be most stressful and found that father absence from home was the most important. Sixty four percent of the cases had family histories of father absence for over six months.
Gabower (1960) similarly used 15 US Navy children referred for psychological treatment, and included a control group of military children with no reported behaviour or psychological problems. She found that separation from the father was related to the child's behaviour problem. However, Gabower pointed out that the effects of frequency and length of separation could not be dissociated from the way the mother and father played their respective roles. Particularly important variables were their own parenting ability and what efforts, if any, they made to help the child cope with father separation.
McCubbin et al. (1976) cite a similar study by Kurlander, Leukel, Palevsky and Kohn (1961) in which military children referred to a child guidance clinic for psychological treatment had a median of six geographical moves.
Pepin (1966) examined academic achievement and personal adjustment of three groups of high school students all living in the same American community. They comprised a military mobile group, a non-military mobile group and a non-mobile group. Pepin found they did not differ in eight of eleven categories on the Mooney Problem Checklist. Although there were differences in three areas: finances, living conditions and employment; curriculum and teaching procedures; and adjustment to school work. The differences in adjustment to school work and the finding that, with regard to mobility and academic achievement, the non-mobile group scored higher on a standardized mathematics test are particularly relevant to the present investigation.
The importance of father absence for boys was evaluated by Baker, Fagen, Fischer, Janda and Cove (1967) who took various sociological and psychological measures of military families (mother, father and 5-8 year old son) before the father left, and again 6-9 months following his departure. They found increased masculine striving and poorer peer adjustment among male military children whose fathers were absent on overseas tours of duty compared to intact families.
The age of children seems an important factor when considering the influence of parents' reaction to mobility. Gonzalez (1970), reported by McCubbin et al. (1976), in case studies of military "Brats" referred for psychological help found that younger children reacted to the emotional changes in their parents rather than geographic change.
Wagner and Feletti (1974) were similarly interested in the development of New Zealand service children. They studied mobile service children and non-mobile civilian children in two schools in New Zealand and found that "frequent changes in primary schools deprive a boy of the opportunities to develop his self concept to the same level as his geographically stable peers" (p. 114).
The development of self concept is in part enhanced by the security of the child's environment and as Firth (1974) has observed
"The peripatetic are thrown on their own resources; they learn to be self-contained, even detached, and lean heavily on the emotional and social relationships of the immediate family circle" (p. 329).
The development of self concept, a process beyond the scope of this study, may however indirectly influence academic achievement. Leith and Davis (1972) for example, investigated the relationship between neuroticism and achievement and found that for 12-13 year old children high anxiety facilitated academic achievement. Being a curvilinear relationship high anxiety had a debilitating effect on college students. They suggest that the curvilinear relationship between anxiety and achievement is related to changes in self confidence or self concept of the students. Although it should be noted that this relationship was not observed in all studies (Child, 1964).
McCubbin and Dahl (1976) conducted a longitudinal study of prolonged family separation where fathers were Prisoners of War during the Indo-China War, and found that, "the longer the period of absence, the better the family relations of the child and the more self reliant he became" (p. 141), in terms of the child's social and academic
development. The authors explain this finding which conflicts with Gabower (1959) and others by suggesting that the prolonged absence of the father placed greater demands on the children in terms of responsibility in the family unit, and self reliance leading to a sense of security and self respect.
Inbar (1977) identified a male "vulnerable age" for geographic moves. He stated "in early school years a geographical move or crisis could mean a drop in his eventual academic achievement or even his IQ" (p.28). Inbar identified the sixth to eleventh years as the male vulnerable age. His evidence was inconclusive for females. He derived this finding from analyses of Israeli and Canadian immigration and college statistics. The influence of intervening variables between mobility and achievement were unknown in his study. From the analyses conducted however Inbar did find conclusive evidence that among men and for larger interregional moves, "those who moved during the vulnerable age ended up with less schooling" (p.30).
Mackay and Spicer (1975) in the ETASC project investigated service children's personal development in terms of their attitudes about, and interest in, educational and social activities, and the personality dimensions of extraversion and neuroticism (described in Chapter 2). In accord with their findings about academic achievement, they found that turbulence appears to have no noticeable effect on student interest in curriculum areas or preference for certain styles of learning. The authors caution that this does not mean individual students have not had their interests detrimentally or beneficially effected by turbulence but that such effects are less common than supposed by teachers and parents. Younger service children were found to be more
introverted than civilian children. Overall however they concluded there was "no evidence to suggest that turbulence is a major factor influencing children's social achievement, leisure-time activities or attitudes to change" (p.86).
It seems the evidence that military children differ from civilian children in personality characteristics is weak. Nevertheless the evidence does suggest that if military children do have personality differences or special behaviour problems they are more likely to be internalized than "acted out" (Kenny, 1967, p.62).
Possible differences between army and civilian children on the personality dimensions of extraversion and neuroticism are examined in the present study. Particular attention is given to the neuroticism dimension as some studies have shown neuroticism may influence academic achievement (Eysenck and Cookson, 1969; Leith and Davis, 1972).
1.4 Parental Influence on Children's Academic Achievement and Personal Adjustment
The manner in which parents influence their children's educational and personal development in relation to mobility and father absence is the focus of this section. It will be shown that the readiness of parents to accept mobility is an important factor in determining how well their children cope with mobility.
One of the most significant studies in this area was that of Pedersen and Sullivan (1964) who observed that parental attitudes toward mobility were important in determining the child's ability to adjust to the move. They compared the incidence of geographic mobility in the histories of 27 emotionally disturbed military children and 30
matched normal children. While they found the actual incidence of geographical relocation was not related to the criteria of emotional disturbance, parental attitude to mobility did differentiate the groups.
Mothers of normal children appear significantly more accepting of frequent relocation, and both mothers and fathers of normal children show a stronger identification with the military community. (p.580)
McKain (1973) studied the problems of Army families upon relocation in terms of the wife's feelings of alienation; that is, her sense of belonging to, or distance from the military community. He concluded:
That geographic mobility and family problems associated with moving are likely to be found in the Army family in which the wife-mother feels alienated from society and the Army community. (p.20)
In Britain the Plowden Report (1967) suggested that:
The variation in parental attitudes can account for more of the variation in children's school achievement than either the variation in home circumstances or the variation in schools. (p.33)
Although research shows the wife's acceptance of mobility can influence the capacity of the family to cope with the event; to what extent the wife-mother's attitude is related to the child's academic achievement has not, to the writer's knowledge, been investigated.
The fact that parents may convey their attitudes about education to their children was observed by Willmon (1969) who in a study of the Head Start programme in America found that parental involvement in educational programmes for young children increases their children's future academic achievement motivation.
Lopate, Flaxman, Bynum and Gordon (1970) in a review of the literature about community participation in education concluded "Educational research indicates that when parents of school children are involved in the process of education, their children are likely to achieve better" (p.148). Essentially the authors argue that parental participation in their children's education lessens the actual and imagined distance between the goals of the home and those of the school. Furthermore the children's knowledge that their parents have some control in the school's decision making enhances their sense of self worth, which is essential if they are to achieve.
Cowie (1974), however, studied differing kinds and amounts of parental involvement in a New Zealand school. He found that parental involvement had no significant effect on children's academic achievement although parents and teachers felt that active parental involvement was probably helpful for individual children. Nonetheless Cowie notes that the overseas literature reviews, particularly Sharrok (1968) and Lopate et al. (1970), generally support the claim that parental attitudes to education and involvement in education programmes do in fact influence their children's academic achievement.
What are the attitudes of New Zealand Army parents towards participation in education? Do they feel restricted in the amount or kind of participation they may have because of frequent shifts?
If so, is there a feeling of remoteness or lack of control which may effect their children's academic achievement? These questions appear to have not been asked to date and are worthy of attention.
1.5 Summary
The research and literature, as contradictory and inconclusive as it appears to be, has established empirically what many have assumed,
"The military family" is influenced by a host of acute and chronic stresses related to, if not unique to, life in the military. No other large group is exposed so uniformly to the pressures of father absence and geographic mobility. (McCubbin et al., 1976, p.293)
The effects of these pressures are not yet clear. The scarcity of research on the military family up to 1960 followed by an increased awareness that the family is an important influence on the behaviour of the soldier in terms of his morale and efficiency precipitated a shotgun approach to research on the military family during the 1960's and early 1970's "The result has been a theoretical eclecticism leading toward research in breadth rather than depth: an index of it's conceptual adolescence" (McCubbin et al., 1976, p.315).
Coates and Pellegrin (1965) in their literature review complained of the inability of researchers to build upon past research and therefore contribute to a body of knowledge. While this is a problem also apparent in other research areas, research about the effects of turbulence on children has more specific problems given the complex natures of turbulence and children's development.
A fundamental problem is that of identifying and quantifying mobility and the wider concept of turbulence. Mobility may include residential, social, geographical, occupational, educational or income movement and its significance may be influenced by other factors such as whether it is "forced" mobility, the time it occurs in relation to other events, the rate, the amount, etc. Turbulence may be any stress associated with change, which is again influenced by a multiplicity of factors such as the characteristics of the individual, and of the family unit, the old and new environments, institutional compensation for disruption, and so on.
This confusion about the kinds of turbulence, the "major methodological problem of isolating one variable, mobility, within the unresolved nature/nature controversy" (Firth, 1972, p.58), and the complications of differentially quantifying degrees of turbulence, all contribute to the present situation of contradictory findings, and make efforts to generalize about the effects of mobility or turbulence difficult.
In addition to the difficulty of identifying and quantifying turbulence most studies are subject to the following general criticisms outlined by McCubbin et al. (1976). Many of the investigations were not set out to test specific hypotheses and ended up as broad clinical observation studies with untested common sense assumptions. Some of the studies employ restricted samples from available local populations that may not necessarily be representative, which seems to be a feature of some of the New Zealand work.
In terms of relating turbulence to children's educational and personal development the confounding of many intervening variables, including the individual characteristics of the child such as age, sex, general ability, personality, and the environmental influences of the home, school and social scenes, have created methodological and conceptual confusion.
There is however general agreement about two points made or assumed consistently in the literature. The first is that the military, while not unique in this respect, is a social institution that subjects its members to a turbulent environment in a more consistent and uniform manner than many other social institutions. The second is that the complex relationship between turbulence and achievement is not fully understood. Yet as Firth (1972) observed "The findings differ but no authority disputes that frequent changes of school, home and neighbourhood carry a significant risk of educational retardation and emotional maladjustment" (p.60).
These two conditions were the primary inducements to undertake the present investigation. It was also thought that the actual findings reported in the literature from which these concepts derive could not necessarily be applied to the New Zealand scene. Furthermore while the New Zealand data is thin, the overseas data, as illustrated in this review, does not allow definitive statements to be made about the effects of the military environment on children in any country. Finally the varying service conditions and cultural differences between countries make generalizations to the New Zealand context suspect.
Mackay and Spicer (1975) proposed a list of the main factors thought to influence the educational and personal development of mobile children. These include:
a. certain attributes of the child; for example general ability, and personality, particularly the degrees of extraversion and neuroticism
b. certain aspects of the child's school experiences, such as the number of school and teacher changes
c. certain attitudes of the parents; for example their willingness to cope with difficulties that arise and the degree of their concern for the child's education
d. certain aspects of the child's home background, such as the socio-economic level of the home, frequency and duration of father absence from home.
This list has formed the basis of the present investigation into the effects of turbulence on the academic achievement and personalities of children of New Zealand Army soldiers.
Several studies cited in this review have also suggested that parent's attitudes may influence their children's academic achievement. Accordingly the present study has drawn on the general findings and suggestions of earlier studies in looking for any relationships between army parents' attitudes toward mobility, the Army "system", education, and their children's academic achievement.
The basic questions put in this thesis are: Do army children experience more mobility than comparable civilian children? Are their fathers absent from home more often and for longer periods than those
of civilian children? Do they achieve any differently than civilian children at school? Are they any more extraverted or neurotic than civilian children? If there are any differences between army and comparable civilian children in these respects, are the differences related to the amount of turbulence experienced? And finally, is there an important relationship between parent's attitudes to certain features of the military environment and peripatetic life and their children's academic achievement?
Chapter 2 describes the procedures by which answers to these questions were sought.
CHAPTER 2
METHODOLOGY
The purpose of this study has been to compare the academic achievement of army (children of New Zealand Army soldiers) and civilian children, with a view to investigating some of the possible effects of turbulence on army children's academic achievement.
A longitudinal, or pre-test/post-test design would best allow measurement of the effects of different amounts of turbulence on academic achievement while controlling important intervening variables. This investigation is, however, cross-sectional in design, given the restrictions of time and finance. Cross-sectional studies have inherent limitations that warrant the following considerations when interpreting the results: the observed differences may have been present before the experience of turbulence, and they may not necessarily be a result of turbulence itself but of factors related to turbulence. The steps taken to mitigate the effect of these limitations are described in this Chapter. Of more consequence is the fact that the aim of this study is to describe the present level of academic achievement of army children in relation to comparable civilian children having regard for the turbulence factor. It is thought the steps taken to mitigate the inherent limitations of cross-sectional studies together with the emphasis on describing the relative academic achievement of army children ensure that the above mentioned limitations do not detract from the present study.
2.1 Hypotheses
1. Army children experience more mobility than civilian children.
2. Army children experience more father absence than civilian children.
3. There is no significant difference in performance between civilian and army children on each of the following Progressive Achievement Tests (PAT):
3a. Reading Comprehension (RC)
3b. Reading Vocabulary (RV)
3c. Listening Comprehension (LC)
3d. Mathematics (M)
3e. composite linguistic skills (CLS)
4. There is no significant relationship between children's achievement on the PAT and parents' attitudes as measured by the Parent Questionnaire. The attitudes measured are:
4a. attitude about the effects of mobility on education (scale 1)
4b. attitude about the general effects of the service environment on the family (scale 2)
4c. attitude towards parental involvement in their child's education (scale 3)
4d. attitude toward shifting the family home (scale 4)
5. There are no differences between army and civilian children in the personality dimensions of:
5a. extraversion - introversion, and
5b. neuroticism - stability
as measured by the Junior Eysenck Personality Inventory (JEPI).
2.2 The Sample
The sample is a quota sample (Garnder, 1976, p.92) based on the subject attributes of age, sex, and class level.
The sample consisted of 130 male and 88 female New Zealand school children attending Form II during 1977. This class level was chosen because of the general uniformity of core curriculum within primary schools. Furthermore, given the age range (10.7 to 13.4 years and a mean of 12.4 years) one may assume the children are not generally undergoing adolescent turmoil that may influence the outcomes of a study of this kind.
The children were all of those in the Form II classes of six schools. These schools were selected on a comparative basis (Gardner, 1976, p.96) so that each pair contained one school predominantly populated by army children with some civilian children (Camp school) and one school predominantly populated by civilian children with some army children (country school). One pair of Camp and country schools was near a provincial centre in the North Island, another pair served North Island rural catchment areas, and a third pair was located near a South Island provincial centre. The schools were also paired on the basis of approximately equal size of school enrolment.
"Army" or "Camp" schools are those located within Army Camps and serve service personnel in the main but also other civilian people like farmers, technicians, etc. in the surrounding rural area. The schools are entirely staffed and administered by civilians as they are State schools.
A description of the sample characteristics is included at the end of this Chapter.
2.3 Variable Descriptions
Mobility. The operational definition of mobility is, *the number of schools attended by each child*. This simple index was taken from the E19/22 cards (New Zealand Department of Education, n.d.) and substantiated through the Parent Questionnaire data. No account was taken of the reason for the change of school, or the time of change in terms of the child's age, or school term.
Father absence. The operational definition of absence is, *the amount of short and long term absence of the father from the home*. It is a condition of employment in the army that soldier/fathers be available for, and sometimes on duty 24 hours a day, 7 days a week. This fact of service employment is considered a major difference between army and civilian employment.
Absence of the mother from the home may be equally or more important to some children than the absence of their father. While this characteristic of home life is important to children it was not measured as this investigation focuses on absence because of employment, and there are no soldier/mothers employed in the New Zealand Army.
Mackay and Spicer (1975) found that parents could reliably recall long term absence over a period of five years and short term absence over three years (p.13). Accordingly the following two measures of turbulence were taken:
Long term absence = total number of months of father absence from the home in the five years 1972 to 1976.
Short term absence = sum of the absence category numbers for the three years 1974 to 1976.
The short term absence categories were:
(1) 0 - 50 days
(2) 51 - 100 days
(3) 101 - 150 days
(4) 151 - 200 days
(5) more than 200 days
No account was taken of the recency of absence since the aim is to measure the general long term effects of turbulence and these are measures of the average amount of absence over recent years.
Socio-economic status (SES). Socio-economic status was measured by the Revised Socio-economic Index for New Zealand (Elley and Irving, 1972). This six point scale is based on median educational level and median income. It pertains to over five hundred occupations in New Zealand.
Ethnic identity. The index of ethnic identity was as simple as the measurement. All subjects, regardless of their physically apparent race, were asked to indicate whether they were "Maori", "Pakeha", or other on the front page of the JEPI.
Note. \(^1\)This category should have been 1 - 50 days. The error was not corrected before the Parent Questionnaire went to print. However Service requirements make it a certainty that no serviceman would have chosen category 1 to indicate 0 days absent in any one year.
The issue of ethnicity is however more complex. Attempts to identify race and "Maoriness" range from cultural affiliation indexes to biological-come-blood measures. St. George (1977) in review of the New Zealand literature on ethnicity concluded that:
The literature and research on this issue appears then to favour the use of a criterion of self-identification when making distinctions between the ethnic and cultural groups of Maori and European in the New Zealand population. (p.147)
The children in the present study had no difficulty choosing an ethnic identification when asked simply, "Are you a Maori, a European, or other?" The ability of children to make this choice was observed by Vaughan (1964a, 1964b, and in a replication by Awatere, 1972), who studied the development of ethnic awareness and found that children of the age levels in this study were able to make a choice of ethnic identity, in terms of their community and those with whom they are most involved.
2.4 Measuring Instruments
Progressive Achievement Tests. The PAT were used to measure the dependent variable, academic achievement (Hypotheses 3 and 4). This test group consisted of Reading Comprehension (RC), Reading Vocabulary (RV), Listening Comprehension (LC) and Mathematics (M) tests.
The PAT are a series of standardized achievement tests developed specially for use in New Zealand schools. They were specifically designed to provide measures of academic achievement level. The test developers actively involved specialists from various fields within the education
system. Particular emphasis was placed on the content validity of the tests as they were designed to reflect the curriculum content and objectives in each subject area. Consultation with the New Zealand Council for Educational Research confirmed that the tests were ideally suited to measure academic achievement for this study.\(^2\) A brief description of these multiple choice, paper and pencil tests follows.
a. Reading Comprehension Test (Elley and Reid, 1969). This test provides levels of difficulty of reading material that a pupil can read with adequate comprehension. The test measures both factual and inferential comprehension of prose material with approximately equal proportions of items tapping these domains.
b. Reading Vocabulary Test (Elley and Reid, 1969). This test provides vocabulary levels that denote the number of common words the pupil understands.
c. Listening Comprehension Test (Elley and Reid, 1971). This test provides measures of simple recall skills and inferential comprehension, with approximately the same proportion of items in each area.
d. Mathematics (Reid and Hughes, 1974). This is an omnibus test emphasizing power rather than speed. It measures the following skills and abilities; recall of memorized information, computation, understanding of mathematical concepts, processes
Note. \(^2\) Personal communication with P. Jackson, Test Development Officer, New Zealand Council for Educational Research, 18 January 1977.
and terms, and application of mathematical knowledge to unfamiliar situations.
In addition to the high content validity of this group of tests as measures of educational achievement, they also have the advantages of a standard administration, marking and scoring procedure and the availability of New Zealand national norms.
Investigations similar to the present study have sometimes suffered in terms of reliability and validity because of the variety of attainment tests used to measure different kinds of knowledge by various means. The use of the PAT group overcomes many of these difficulties. Ample and satisfactory empirical data on the reliability and validity of these tests is available in the respective Manuals.
An investigation of the marking reliability of the PAT by Hughes (1977) uncovered an error percentage rate for schools of around 20%. Hughes remarked 2046 test papers of 682 Form II pupils. Although this is an alarmingly high error rate (one expects about 5%) Hughes pointed out that the errors are usually slight and that the test sophisticated teacher would not likely misinterpret a pupil's achievement level because of a slight marking error.
An independent measure of "intelligence" was not taken for this study. Setting aside the arguments about the validity of such measures, it is important to be aware that the PAT correlate highly with other verbal abilities tests. Since schools today seem largely concerned with the development of verbal skills, the author thought measures of verbal abilities are appropriate indicators of potential for development of verbal skills, hence academic achievement, rather than non-verbal
performance measures.
The PAT Teacher's Manuals indicate PAT correlate with general ability tests in the order of .50 to .80 for pupils in approximately the same class level as those in this study, as shown in Table 1.
Reid and Hughes (1974) conducted a factor analysis of the PAT group and found that the tests have a large general ability component, although they point out that each of the Reading and Listening Comprehension tests provides information about a different aspect of a child's verbal ability (p.15).
Given these strong correlations a separate measure of general ability was considered redundant, and the use of a so-called independent measure of general ability using a performance, or non-verbal scale was thought inappropriate given the verbal abilities component of the criterion measures.
Junior Eysenck Personality Inventory (JEPI). A sample JEPI is in Appendix F. Past research by Teitz (1942), Pedersen and Sullivan (1964), Wooster and Harris (1972), Wagner and Feletti (1974) and others, together with parent and teacher interviews conducted in New Zealand at the preliminary stage of this study, suggest that mobile children may experience personality or behaviour problems related to turbulence. Although the evidence is equivocal about overall beneficial and detrimental effects of turbulence, attention is often focused on behaviour described by Eysenck as characteristic of the personality dimensions of extraversion and neuroticism. Eysenck describes these two dimensions as follows:
| PAT | Other abilities tests | r |
|-----|---------------------------------------------|----|
| RC | Otis Intermediate A | .79|
| | Jenkins Intermediate Non-verbal | .63|
| RV | Otis Intermediate A | .83|
| LC | ACER Word Knowledge C | .45|
| | ACER Reading for Meaning | .58|
| | Otis Intermediate B | .47|
| M | ACER: Test of Reasoning in Maths | .73|
Extraversion is characterized by sociability, activity, optimism, outgoing and impulsive behaviour etc., while introversion is characterized by unsociable, passive, quiet, thoughtful and reserved behaviour. Similarly with respect to neuroticism, the unstable person is moody, touchy, anxious, restless, rigid, while the stable person is calm, carefree, easy-going, reliable, and so forth. (Eysenck, 1965, p.3)
The JEPI was used in the present investigation to measure extraversion and neuroticism as in the ETASC study. The JEPI was derived from the Eysenck Personality Inventory (Eysenck and Eysenck, 1964). High scores on the extraversion, neuroticism and lie scales indicate extraverted and neurotic behaviour and increased lie telling, while lower scores on these scales indicate behaviour tending toward introversion, stability, and honesty respectively.
The JEPI is a particularly appropriate measure of these personality dimensions for this New Zealand study because it has been standardized for New Zealand conditions with separate norms for Maori and European children (Bowler and Leitch, 1972).
The Parent Questionnaire. The self-administered Parent Questionnaire is in Appendix A. It is a descriptive survey (Gardner, 1976, p.6) adapted from the following three instruments that were pre-tested, piloted and used in the ETASC study: (a) family questionnaire (b) history of child sheet (c) teacher questionnaire. The items chosen for the Parent Questionnaire were changed as necessary to fit the New Zealand context. Other items were developed specifically for this investigation.
The kinds of information collected are:
1. biographic and demographic data such as the number of siblings, serviceman's rank,
2. certain attributes of the children like sex and ethnicity,
3. mobility data such as the number of schools attended and the number of shifts of the family home,
4. other turbulence measures based on the amount of absence from home of the father,
5. attitudinal data such as parent's attitudes towards certain aspects of the military and education.
The advantages and disadvantages of self administered questionnaires versus interview techniques have been discussed by Oppenheim (1966), Gardner (1976), and Selltiz, Wrightsman, and Cook (1976). Those advantages of the questionnaire technique specific to this thesis are briefly: (a) guaranteed anonymity of respondents (b) standard questions and categories for reply (c) lack of interviewer error in recording answers (d) limited interviewer bias in asking questions (e) convenience to respondent allowing time for considered answers and (f) cost. The disadvantages include: (a) incomplete data on the total sample (b) inflexibility of coverage and (c) limited qualitative depth of answers. These and other practical considerations caused the investigator to adopt the questionnaire survey technique.
Questionnaire design and analysis of the kinds of information listed in 1 to 4 above is relatively straightforward and described in the standard texts on questionnaire design noted above.
However attitude measurement is more difficult, principally because of the complex nature of attitudes and the difficulty of establishing the reliability and validity of the measurements. A central problem is that of determining what would be the appropriate criteria of validity measures of complex attitudes. This difficulty explains for Ferguson (1957) why when attempts are made to establish the reliability and validity of attitude scales he finds there is "more measurement than validation" (p.237).
This investigator was interested in respondent reported knowledge, perceptions and attitudes. The author regards an attitude as something more stable than fluctuating opinion, yet less rigid than say, a religious belief. That is, for the purposes of this study an attitude is regarded as "a tendency to respond to people, institutions or events either positively or negatively." (Chaplin, 1974, p.42) To measure the direction and relative strength of parent's attitudes, four attitude scales were constructed within the Parent Questionnaire.
These attitude scales (Hypotheses 4a-4d and their derivatives 6a-6d) contained in the Parent Questionnaire are:
Scale 1 - attitude about the effects of mobility on education. (Items: 13, 14, 25, 28, 29, 30)
Scale 2 - attitude about the general effects of the Service environment on the family. This scale was administered to the army sample only. Experience in the military environment was necessary to meaningfully answer the items in this scale. (Items: 16, 18, 22, 23, 24, 51 to 58)
Scale 3 - attitude towards parental involvement in their child's education. (Items: 32, 33, 34, 36, 37, 46, 49, 50)
Scale 4 - attitude towards shifting the family home. (Items: 38, 39, 40, 42, 43, 48, 49)
These scales, with a complete listing of all questions included in each, are in Appendix B.
The attitude scales are summated scales with items pooled on the basis of their logical relationship to the target attitude. They follow the Likert scale format but are not Likert scales in that they have not been item analysed to determine which items best discriminate between high and low scorers, or the internal consistency of each scale.
The types of items used in the Parent Questionnaire are:
fixed alternative (e.g. 1, 2, 5) free answer (e.g. 3, 6) itemized rating scales (e.g. 13, 14) ranking (e.g. 19, 20) rating (e.g. 42 to 58) closed (e.g. 21, 35) multiple choice (e.g. 32, 33, 34) open ended (e.g. 59).
Analyses to statistically determine the unidimentionality of the attitude scales as well as the overall content, construct, convergent and discriminant validity of the questionnaire may be carried out at a later date if the instrument is refined for further application. The limitations on validity given the developmental nature of the questionnaire are fully recognized.
Selltiz et al. (1976), pp. 399-432 have discussed some of the advantages, disadvantages, and requirements of the types of items used that were considered when constructing the Parent Questionnaire.
The rating items (e.g. 42 to 58) were phrased so that agreement may in one case indicate a positive attitude and in another case a negative attitude. This manner of posing questions together with inverting the layout of response categories (e.g. 15 to 18) was adopted to diminish the influence of any acquiescent response set.
The unavoidable use of negatively connoted words such as "turbulence" and the expressed intention of the study as outlined on the Parent Questionnaire introduction page, may have induced some respondents to emphasize the negative.
In an effort to alleviate any effects of this demand characteristic, and possible interviewer error or bias effects already diminished by the self-administered questionnaire technique (Gardner, 1976, p.83; Selltiz et al., 1976, p.295), emotionally loaded words were avoided and items were either positively or negatively phrased at random throughout the questionnaire.
The errors of central tendency were dealt with in the case of rating scales (e.g. 42 to 58) by placing the neutral response category to the extreme right. Additionally, several items encouraged discrimination between a neutral response, a "don't know" and a "not applicable" by providing separate response categories (e.g. 13, 14, 16).
The Parent Questionnaire was developed from an item pool of over 240 items derived from the above named Australian instruments and the author's experiences as a military psychologist. The questionnaire drafts were scrutinized by several panels which consisted of:
(a) 18 Army parents, (b) 3 Army Education Officers, (c) 4 civilian teachers teaching in army schools, (d) 3 civilian teachers teaching mobile
civilian children, (e) 6 adolescent army children who had experienced mobility in the military environment, (f) 3 computer specialists, and (g) 2 printing experts. Eventually 59 items that provided the best actual return of usable data, dross rate, with satisfactory coverage of the topic and face validity, were selected.
The constructive criticism offered by the panels focused on the following points: (a) questions about ethnicity, (b) ethical and practical concerns about the anonymity of respondents, (c) ambiguity of items and type of response categories, (d) layout, (e) applicability of certain items to some subsets of the sample, (f) coding, (g) theoretical constructs and argument about the inclusion and exclusion of items.
2.5 Data Collection
School data. The E19/22 school record cards provided biographic data, attainment measures and teachers' ratings of the child's personality. The information used from these records was the pupil's full name, address, sex, age, number of schools attended and the parents' name and occupation. This information was cross checked with the questionnaire data.
Teacher assessed attainment and personality ratings were not analysed because they are regarded by the author as less reliable than the PAT and JEPI measures respectively. Bunce and Calvert (1974) studied the E19/22 records of Form II pupils in four Dunedin schools. They found evidence that substantiates the author's view that such data was unsuitable for the present study because of the dubious reliability and validity of the data (p.50).
Progressive Achievement Tests. The PAT group had been administered in all schools during February-March 1977 as part of the regular assessment programme. Results were taken directly from school records in raw score, age and percentile form during April-May 1977. The principals of each school either personally administered and scored the Tests or supervised the procedure to enhance the uniformity of administration and scoring.
Junior Eysenck Personality Inventory. The JEPI was administered according to the standard procedure during May 1977 to class groups in five schools by the same trained teacher experienced in administering and marking the JEPI. In the case of one school in the South Island the class teacher administered the Inventory. The scoring of all answer sheets was checked by the researcher for accuracy.
Parent Questionnaire. The questionnaire was distributed to parents by the School Principals via the Form II children. They were later returned to the Principal for collection by the researcher. Those families that had moved before the questionnaires were distributed were mailed a questionnaire if a forwarding address was obtainable.
Data processing. All data was prepared for processing on the Massey University Burroughs B6700 computer. Analyses were based on statistical routines available in the Statistical Package for the Social Sciences (Nie, Hull, Jenkins & Bent, 1975).
2.6 Data Transformations
The PAT raw scores were transformed to standard scores with a mean of 50 and a standard deviation of 10. This linear transformation gave all PAT raw scores a common base while retaining the distribution's
form, and hence the individuals' relative positions on the distribution, for meaningful comparison of test scores (Magnusson, 1966, pp. 232-234). This technique, together with the reasonably normal distribution of the raw scores, allowed combination of the data to form a composite linguistic skills (CLS) measure. This measure was created through the simple unweighted combination of the Reading Comprehension, Reading Vocabulary and Listening Comprehension standard scores.
Some of the questionnaire items allowed more discrimination among responses than others. For example the seven point itemized rating scales (e.g. 13, 14) compared with the five point rating scales (e.g. 15, 16); and the forced choice items (e.g. 22, 23) compared with those that allow differentiation between a genuinely neutral response, indecision, and a lack of information (e.g. 13, 16). Because of these variations the items included in the construction of the attitude scales were coded to a common base for each of the four attitude scales.
The distinction between missing values and "not applicable" was preserved where appropriate throughout the analyses.
2.7 Sample Characteristics
Age. The age range of the sample was 10 years 8 months to 13 years 5 months. The mean and median age was 12 years 5 months with a mode of 12 years 6 months. The army and civilian subsets had similar age ranges and did not differ in mean age.
Ethnic group. The sample contained 53 Maoris, 155 Europeans, one "other", and 12 subjects whose ethnicity was unknown. Table 2 shows the civilian and army subset breakdown by the two main ethnic groups.
TABLE 2
Percentages of Maoris and Europeans in Army and Civilian Subsets of the Total Sample
| | Civilian | | Army | |
|----------------|----------|-------|------|-------|
| | N | % | N | % |
| Maori | 23 | 18 | 30 | 38 |
| European | 106 | 82 | 49 | 62 |
It is apparent the army subset has a higher proportion of Maoris than the civilian subset. This was expected because approximately 25% of the Army population is Maori, which is a higher proportion than that in the general population.
Gender. Table 3 illustrates that the number of male and female children in the army sample is about equal while in the civilian sample there are more males than females.
TABLE 3
Percentages of Males and Females in Army and Civilian Subsets of the Total Sample
| | Civilian | | Army | |
|----------------|----------|-------|------|-------|
| | N | % | N | % |
| Male | 84 | 65 | 43 | 51 |
| Female | 46 | 35 | 41 | 49 |
Socio-economic status (SES). The mean, median and mode SES of the total sample is Elley and Irving classification 4. The civilian sample mode is 3, while the army sample mode is 4 which indicates a lower socio-economic status for the army sample. This is because the Elley and Irving scale classifies all Other Ranks as 4 and does not discriminate between skilled and semi-skilled occupations within the Army Other Rank structure as it does for civilian occupations. Consequently the variance among army SES ratings is much less that the variance among civilian ratings. Furthermore there is a much higher proportion of Other Ranks (SES 4) than Officers (SES 2) in the Army population thereby lowering the mean SES classification.
The difference in SES between army and civilian samples was statistically significant at $p < .001$ ($\chi^2 = 29.11; \text{df} = 1; \text{Kendall's Tau B} = 38; p < .001$). The significant difference is regarded as an artifact of the Elley and Irving scale which does not adequately differentiate among Other Ranks as noted above.
The Parent Questionnaire response rate. For the combined sample 66% (155) of the questionnaires were completed and returned. Of the 222 questionnaires distributed 43 were not returned or returned "address unknown", 22 were returned but not completed, and 2 families had been posted overseas. Of the 130 questionnaires sent to civilians 69% were returned completed and 78% of the 81 questionnaires sent to soldiers were returned completed.
The low response rate from questionnaire surveys is notorious, usually ranging from 15 to 50 percent (Gardner, 1976, p.84). This fact together with the difficulty of maintaining contact with subjects
in a study of highly mobile people made the high response rate for this questionnaire remarkable.
In discussing the sample characteristics it may be appropriate to comment upon some characteristics of survey data collected in the manner of the Parent Questionnaire. A concern about survey data is that possible differences between respondents and non-respondents may effect the validity of the data.
The unusually high response rate for the questionnaire alleviates this concern to some extent. It is possible however that negative experiences or attitudes may have induced some parents to decline response for fear of a lack of confidentiality, and perhaps, reprisal. Alternatively some respondents may have seized the opportunity to record somewhat biased views. Conversely some parents with agreeable experiences or positive feelings may not have been sufficiently stimulated to reply. While the questionnaire return figures do not indicate that any particular group is disproportionately represented, it is recognized that any possible differences between respondents and non-respondents may effect the validity of the results.
Nonetheless the author considers that the generally even distribution of responses to each item, and the high overall response rate that does not appear to weight unnaturally any particular segment of the sample, support the use of the Parent Questionnaire data with a reasonable degree of confidence.
RESULTS
In analysing the data use has been made of the student's $t$ statistic when comparing differences between group means unless otherwise stated. Before applying the $t$ test an initial check was made on the homogeneity of the sample variances for each comparison. As a result either the pooled or the separate variance estimate was employed as appropriate for the calculation of $t$ in the manner described in Nie et al. (1975, pp. 268-270).
When applying statistical tests of significance to the data presented the confidence level has been set at $p < .05$.
Throughout the text the term "significant" will be used to indicate statistical significance. Psychologically meaningful or important findings will be called "important".
It is recognised that there is some debate about the appropriate use of the $t$-test. The debate seems to focus on the requirement of a normally distributed variable, how the sample size effects the $t$ statistic and the fact that multiple use of the $t$-test may generate "significant" probability estimates by chance.
Nevertheless it is also true that statisticians consider the $t$ statistic to be exceptionally robust. It has been argued that there are relatively few types of distributions of scores where the use of this statistic would result in misleading probability estimates (Hardyck and Petrinovich, 1976, p. 118). Baker, Hardyck and Petrinovich (1966) further point out that "probabilities estimated from the $t$
distribution are little affected by the kind of measurement scale used" (p. 308).
The author takes the view that use of the student's $t$ is appropriate where the intention is to compare two independent groups of subjects using group mean scores on individual Progressive Achievement Tests.
Where it was necessary to consider relationships between particular variables the Pearson Product Moment correlation coefficient has been derived unless otherwise stated. Although breakdowns such as the civilian-army dichotomy are of a binary nature suggesting the use of a point bi-serial correlation coefficient, Nei et al. (1975) argue that "any dichotomy can be treated as though it were an interval level measure and in some cases even a ratio level variable" (p. 5). This special case for dichotomies was invoked for the application of the Pearson technique.
A series of multiple regression analyses were conducted to assess the unique and relative contributions of the turbulence and other independent variables in accounting for the variance in academic achievement among the army and civilian samples.
3.1 Hypothesis 1
The hypothesis was that army children experience more mobility than civilian children. Measures of central tendency were calculated and these are reported in Table 4.
TABLE 4
Number of Schools Attended by Civilian
(N = 130) and Army (N = 84) Children
| | M | Mdn | Mode |
|--------|-----|-----|------|
| Civilian | 2.15 | 1.43 | 1.00 |
| Army | 3.89 | 3.97 | 4.00 |
TABLE 5
Statistical Test of Significant Difference
Between Mean Number of Schools for Army and
Civilian Children
| | M | SD | t | p |
|--------|-----|-----|-----|-------|
| Civilian | 2.15 | 1.84 | 6.22 | < .001 |
| Army | 3.89 | .54 | | |
Table 4 shows that army children experience about twice as much mobility as civilian children. A one tailed $t$-test of statistical significance, reported in Table 5, yielded a $p$ of < .001. Accordingly the hypothesis was accepted. The army children attended significantly more schools than the civilian children.
3.2 Hypothesis 2
The hypothesis was that army children experience more father absence than civilian children. Father absence was categorized into short and long term absence from home and was operationally defined in Chapter 2. Table 6 shows that in terms of the measures applied army children experienced more short and long term absence of their fathers from home. The observed difference is highly significant, $p < .001$. Accordingly the hypothesis is accepted. The army children did experience significantly more father absence from home than civilian children.
TABLE 6
Amount of Father Absence for Civilian (N = 90) and Army (N = 63) Children
| Group | M | SD | t | p |
|-----------|-----|-----|------|------|
| | | | | |
| **Short Term Absence Category** | | | | |
| Civilian | 1.8 | 2.6 | 5.86 | < .001 |
| Army | 4.3 | 2.7 | | |
| **Long Term Absence in Months** | | | | |
| Civilian | 1.3 | 5.5 | 4.82 | < .001 |
| Army | 5.9 | 6.2 | | |
TABLE 7
Correlations Between Types of Turbulence for Civilian (N = 90), Army (N = 63) and the Total Sample of Children (N = 153)
| | Short Term Absence | Long Term Absence |
|----------------------|--------------------|-------------------|
| **Civilian** | | |
| Mobility | .13 | .22* |
| **Army** | | |
| Mobility | .16 | .12 |
| **Total Sample** | | |
| Mobility | .27** | .28** |
* p < .05.
** p < .01.
The relationship between each kind of father absence and mobility was also examined. Table 7 indicates that there is a small positive relationship between each kind of turbulence for the total sample of children and between mobility and long term absence for the civilian sample.
As there were significant differences in the amount of turbulence experienced by army and civilian children, as shown in Tables 5 and 6, the relationship between turbulence and PAT scores was examined. This is reported in Table 8.
The reader should note that the predominance of inverse correlations in Table 8 is a function of the preferred values for the independent and dependent variables. That is, the preferred values for the mobility and absence measures are low but the preferred values for PAT performance are high.
The relationships are generally in the expected direction and indicate that as the amount of turbulence increases the PAT standard scores decrease. At the risk of implying inappropriate inferences from non-significant data it is interesting to note that for the army sample only, PAT performance increases as the number of schools attended increases. The data in Table 8 however must be interpreted as showing no significant relationships between the turbulence measures and PAT standard scores.
TABLE 8
Correlations Between Turbulence and PAT Standard Scores for Civilian (N = 90), Army (N = 63) and the Total Sample of Children (N = 153)
| | RC | RV | LC | M | CLS |
|------------------|------|------|------|------|------|
| **Civilian** | | | | | |
| Mobility | -.08 | -.03 | -.14 | -.03 | -.10 |
| Short Term Absence | -.15 | -.16 | -.09 | -.12 | -.15 |
| Long Term Absence | -.20 | -.14 | -.11 | -.13 | -.17 |
| **Army** | | | | | |
| Mobility | .15 | .18 | .10 | .22 | .16 |
| Short Term Absence | -.12 | -.06 | -.13 | -.02 | -.12 |
| Long Term Absence | -.05 | -.14 | -.01 | -.05 | -.07 |
| **Total Sample** | | | | | |
| Mobility | .05 | .11 | -.03 | .06 | .04 |
| Short Term Absence | -.07 | -.04 | -.11 | -.07 | -.08 |
| Long Term Absence | -.08 | -.08 | -.06 | -.09 | -.08 |
Note. \(^a\) Values beyond .21 are significant at \(p < .05\); two tailed test.
\(^b\) Values beyond .25 are significant at \(p < .05\); two tailed test.
\(^c\) Values beyond .20 are significant at \(p < .05\); two tailed test.
3.3 Hypotheses 3
These hypotheses related to the academic achievement of army and civilian children. The null hypotheses tested were that there is no significant difference in performance between civilian and army children on each of the following Progressive Achievement Tests:
3a. Reading Comprehension (RC)
3b. Reading Vocabulary (RV)
3c. Listening Comprehension (LC)
3d. Mathematics (M)
3e. composite linguistic skills (CLS; the summated standard scores in 3a, 3b, and 3c).
The mean standard scores of the civilian and army groups were calculated for each Test measure to test these hypotheses.
TABLE 9
Summary Statistics of PAT Standard Scores for Civilian (N = 130) and Army (N = 88) Children
| Test | Civilian M | Civilian SD | Army M | Army SD | t | p |
|------|------------|-------------|--------|---------|-----|------|
| RC | 48.1 | 10.6 | 50.6 | 10.8 | -1.74 | NS |
| RV | 47.6 | 10.1 | 50.9 | 11.8 | -2.21 | <.05 |
| LC | 48.7 | 10.6 | 47.6 | 14.2 | 0.61a | NS |
| M | 48.5 | 10.9 | 49.1 | 11.0 | -0.40 | NS |
| CLS | 48.1 | 9.5 | 49.7 | 10.9 | -1.09 | NS |
Note. a Separate variance estimate was used.
Table 9 illustrates that the army children scored slightly higher on all but the Listening Comprehension Test. However, the only significant difference is on the Reading Vocabulary Test where army children scored 3.3 standard score points higher than civilian children ($p < .05$).
The null hypotheses 3a, 3c, 3d, and 3e are therefore accepted. That is to say there is no significant difference in academic achievement between army and civilian children on these tests of Reading Comprehension, Listening Comprehension, Mathematics and the composite linguistic skills measure. The null hypothesis 3b is however rejected. Army children scored significantly higher than civilian children on the Reading Vocabulary Test.
### Hypotheses 4
These hypotheses had to do with parent's attitudes measured by the Parent Questionnaire. In brief, it was hypothesized that there would be no significant relationship between parent's attitudes toward the Army, shifting, and involvement in education, and their child's academic achievement on the PAT. The parent's attitudes were measured by four attitude scales that have already been described in Chapter 2.
The attitude scales used to test hypotheses 4a to 4d are:
- **scale 1** = attitude about the effects of mobility on education (used to test hypothesis 4a)
- **scale 2** = attitude about the general effects of the Service environment on the family (used to test hypothesis 4b for the army sample only)
scale 3 = attitude of parents toward involvement in their child's education (used to test hypothesis 4c)
scale 4 = attitude of the family towards shifting (used to test hypothesis 4d)
The relationships between each of these attitude scales and the PAT standard scores for civilian, army and combined samples are presented in Table 10. As a high value on the attitude scales indicates a positive attitude, the preferred values for both the scales and the PAT scores are high.
TABLE 10
Correlations Between Attitude Scales and PAT Standard Scores
for Civilian (N = 90), Army (N = 63) and Total Sample Children (N = 153)
| Group | RC | RV | LC | M | CLS |
|-------------|------|------|------|------|------|
| **Civilian**<sup>a</sup> | | | | | |
| Scale 1 | -.07 | .02 | -.01 | .02 | -.03 |
| Scale 2 | not administered to the civilian sample | | | | |
| Scale 3 | -.01 | -.05 | -.08 | -.01 | -.05 |
| Scale 4 | .13 | .16 | .13 | .07 | .15 |
| **Army**<sup>b</sup> | | | | | |
| Scale 1 | -.03 | .07 | -.14 | -.03 | -.05 |
| Scale 2 | -.20 | -.14 | -.26*| -.29*| -.23 |
| Scale 3 | .00 | -.03 | .23 | -.07 | .09 |
| Scale 4 | -.24 | -.21 | .07 | -.26*| -.13 |
| **Total Sample**<sup>c</sup> | | | | | |
| Scale 1 | -.03 | .07 | -.08 | .00 | -.02 |
| Scale 2 | | | | | |
| Scale 3 | .02 | -.01 | .06 | -.03 | .03 |
| Scale 4 | .02 | .05 | .08 | -.06 | .06 |
Note. <sup>a</sup>Values beyond .21 are significant at p<.05; two tailed test.
<sup>b</sup>Values beyond .25 are significant at p<.05; two tailed test.
<sup>c</sup>Values beyond .20 are significant at p<.05; two tailed test.
Inspection of Table 10 shows that on the whole few strong and significant relationships emerge. However scale 2 does have a significant inverse relationship with the Listening Comprehension and Mathematics Tests for the army sample only. It seems that as parent's attitudes about the effects of the Service environment on the family deteriorate as army children's performance on the Listening Comprehension and Mathematics Tests increases. Likewise, for the army sample, it seems that the more negative the parent's attitude about shifting the better their child's performance on the Mathematics Test.
The null hypotheses 4a to 4d are supported for each of the PAT measures for the civilian and combined samples. That is, no significant relationships were found between civilian parent's attitudes as measured by the Parent Questionnaire and their children's PAT performance.
The army sample, however, produced different results as explained above. The null hypotheses 4a and 4c are accepted for each of the test measures. Null hypothesis 4b is also accepted for the Reading Comprehension, Reading Vocabulary Tests and the combined linguistic skills measure but is not accepted for the Listening Comprehension and Mathematics Tests. Similarly the null hypothesis 4d is accepted for the Reading Comprehension, Reading Vocabulary, Listening Comprehension Tests and the combined linguistic skills measure but is not accepted for the Mathematics Test.
Regarding the significant correlations which led to the non-support of some of the above null hypotheses it should be noted that the actual values of the coefficients are not high. Certainly not of the order, in the author's opinion, to claim the discovery of important relationships. This fact, together with the notion that correlation does
not imply causality, will be considered when discussing the importance of these results in Chapter 4.
3.5 Hypothesis 5
The null hypothesis was of no difference between army and civilian children on the personality dimensions of extraversion and neuroticism as measured on the Junior Eysenck Personality Inventory.
Table 11 indicates that there is no significant difference on the personality dimensions of extraversion, neuroticism or the lie scale measured by the JEPI between civilian and army children. Accordingly the null hypothesis is accepted.
TABLE 11
Summary Statistics for JEPI Scores of Civilian (N = 124) and Army (N = 75) Children
| | M | SD | t | p |
|----------------|-----|-----|------|------|
| **Extraversion** | | | | |
| Civilian | 16.9| 3.3 | .81a | NS |
| Army | 16.4| 5.0 | | |
| **Neuroticism** | | | | |
| Civilian | 12.8| 4.9 | -.63 | NS |
| Army | 13.2| 5.0 | | |
| **Lie** | | | | |
| Civilian | 2.5 | 2.2 | -.52 | NS |
| Army | 2.6 | 1.9 | | |
Note. aSeparate variance estimate was used.
3.6 Extreme attitudes. Few significant relationships were found between the four parent attitudes measured on the Parent Questionnaire and children's PAT performance. Although among the army sample there were some weak but significant correlations. As this investigation focuses on army children it was thought a closer examination of the army sample might prove useful in understanding any relationships between army parents attitudes and their children's PAT performance.
When considering possible relationships between complex attitudes and performance it is sometimes helpful to examine extreme manifestations of the attitudes thought to relate to performance. As a study of mild depression might benefit from a study of suicide, the examination of attitude-performance relationships might benefit from a study of extreme attitudes. In an effort to magnify any attitude-performance relationships the army, civilian, and combined samples were polarized along the dimensions of the four attitude scales measured by the Parent Questionnaire. A brief description of the polarization technique follows.
The items included in each of the original scales were coded so that the most negative response received the lowest numerical value, a neutral or indifferent response received the middle numerical value and the most positive response received the highest numerical value for that individual item. All items were coded for these analyses to a common base so that each contributed equally to the summated score for each attitude scale.
The extreme attitude groups were made up of children whose parent's attitudes recorded a summated score equal to or greater than one standard deviation from the mean of each scale. That is, any score greater than or
equal to one standard deviation below the mean of that scale constituted a negative attitude and any score greater than or equal to one standard deviation above the mean constituted a positive attitude on that scale.
This technique of identifying extreme attitude groups assumes the items employ interval measures. Such an assumption is not uncommon for this type of scale where the respondent's position on a scale of favourable-unfavourable attitude towards an object or idea is calculated from the mean score of the items comprising that scale (Selltiz et al., 1976, pp.414-415). The use of the median measure, based on a more cautious assumption that the scale intervals are not actually equal, would have required a non-quantitative identification of extreme attitude groups.
The above procedure of identifying extreme attitude groups was applied to the army and civilian samples as well as to the combined sample. The extreme attitude groups presented in Tables 12 to 15 were identified using the means and standard deviations of the combined sample. Analyses using the means and standard deviations of each of the civilian and army samples produced no different results. Summary statistics of extreme groups computed from the civilian and army samples for each of the four attitude scales are reported in Appendix C.
Mean PAT standard scores were examined for differences between children whose parents held extreme positive or extreme negative attitudes on each of the four scales contained in the Parent Questionnaire. Some marked differences in PAT standard scores were observed between extreme attitude groups. This observation generated the null hypotheses 6a to 6d.
The null hypotheses were that children whose parents hold extreme negative attitudes did not achieve differently on the PAT than children whose parents hold extreme positive attitudes. The scales used to test these hypotheses are the same as those used to test the null hypotheses 4a to 4d.
Tables 12 to 15 report in the following manner the summary statistics derived from testing hypotheses 6a to 6d.
scale 1 = attitude about the effects of mobility on education (used to test hypothesis 6a: Table 12)
scale 2 = attitude about the general effects of the Service environment on the family (used to test hypothesis 6b: Table 13)
scale 3 = attitude of parents toward involvement in their child's education (used to test hypothesis 6c: Table 14)
scale 4 = attitude of the family towards shifting (used to test hypothesis 6d: Table 15)
The reader will recall that Table 10 showed there were few strong and significant relationships in the correlational data between the attitude scales and PAT standard scores. The data in Tables 12, 14 and 15 further illustrate that even holding extreme attitudes about the effects of mobility on education, involvement in education and about shifting does not appear to differentiate the children's PAT standard scores. Accordingly the null hypotheses 6a, 6c and 6d are accepted. That is, children whose parents hold extreme negative attitudes towards these issues do not achieve significantly different PAT results than
children whose parents hold these attitudes in the extreme positive.
Table 13, which concerns only the army sample, shows the PAT mean standard scores of children whose parents hold extreme views about the effects of the Service environment on the family (scale 2). There is no significant difference in achievement between extreme attitude groups for the Reading Comprehension, Reading Vocabulary, Listening Comprehension and composite linguistic skills measure. It appears however that children whose parents hold extreme negative attitudes on scale 2 scored significantly higher on the Mathematics Test than the children of parents with extreme positive attitudes on scale 2. The trend in mean group standard scores is in the direction of higher performance for the extreme negative attitude group on scale 2.
The null hypothesis 6b is accepted for the PATs of Reading Comprehension, Reading Vocabulary, Listening Comprehension, and the composite linguistic skills measure. Null hypothesis 6b is not however accepted for the Mathematics Test. This unexpected finding of significantly higher Mathematics Test performance for the army group of children whose parents hold an extreme negative attitude about the effects of the Service environment on the family will be discussed when drawing conclusions about the entire attitude - performance section of the study.
### TABLE 12
Summary PAT Statistics for Civilian (N = 24) Army (N = 20) and Combined Sample (N = 44) Children Whose Parents Hold Extreme Attitudes About the Effects of Mobility on Education (Scale 1)
| Group | Negative Attitude | Positive Attitude |
|-------|-------------------|-------------------|
| | M | SD | M | SD | t | p |
| Civilian | | | | | | |
| RC | 49.8 | 12.7 | 45.5 | 10.1 | .92 | NS |
| RV | 48.7 | 8.6 | 50.1 | 11.2 | -.36 | NS |
| LC | 50.1 | 8.8 | 49.6 | 11.9 | .12 | NS |
| M | 47.9 | 10.1 | 51.4 | 6.8 | -.96 | NS |
| CLS | 49.5 | 9.2 | 48.4 | 9.6 | .30 | NS |
| Army | | | | | | |
| RC | 51.9 | 16.2 | 48.2 | 11.6 | .53 | NS |
| RV | 49.2 | 17.6 | 50.6 | 12.3 | -.19 | NS |
| LC | 55.8 | 14.2 | 44.0 | 17.2 | 1.25 | NS |
| M | 49.7 | 13.7 | 48.3 | 11.8 | .20 | NS |
| CLS | 52.3 | 14.4 | 47.6 | 12.2 | .67 | NS |
| Total Sample | | | | | | |
| RC | 50.3 | 13.1 | 47.1 | 10.9 | .89 | NS |
| RV | 48.8 | 10.7 | 50.4 | 11.6 | -.47 | NS |
| LC | 51.5 | 10.1 | 46.3 | 15.3 | 1.23 | NS |
| M | 48.3 | 10.6 | 49.6 | 10.0 | -.39 | NS |
| CLS | 50.2 | 10.2 | 47.9 | 11.0 | .68 | NS |
TABLE 13
Summary PAT Statistics for Army (N = 31) Children Whose Parents Hold Extreme Attitudes About the Effects of the Service Environment on the Family (Scale 2)
| | Negative Attitude | Positive Attitude |
|----------------|-------------------|-------------------|
| | M | SD | M | SD | t | P |
| Army | | | | | | |
| RC | 56.5 | 13.3 | 48.7 | 11.0 | 1.65 | NS |
| RV | 54.8 | 15.0 | 50.0 | 12.0 | .92 | NS |
| LC | 56.6 | 12.8 | 44.4 | 15.6 | 2.00 | NS |
| M | 57.0 | 11.9 | 45.1 | 10.9 | 2.61 | ** |
| CLS | 56.0 | 12.3 | 47.7 | 11.4 | 1.74 | NS |
** p < .01.
### TABLE 14
Summary PAT Statistics for Civilian (N = 27) Army (N = 23) and Combined Sample (N = 50) Children Whose Parents Hold Extreme Attitudes About Involvement in Their Child's Education (Scale 3)
| Group | Negative Attitude | Positive Attitude |
|-------|-------------------|-------------------|
| | M | SD | M | SD | t | p |
| Civilian | | | | | | |
| RC | 49.8 | 11.9 | 48.8 | 13.9 | .19 | NS |
| RV | 51.4 | 11.1 | 48.0 | 11.5 | .71 | NS |
| LC | 49.3 | 12.6 | 46.7 | 11.4 | .49 | NS |
| M | 50.2 | 11.4 | 48.8 | 13.1 | .28 | NS |
| CLS | 50.1 | 10.8 | 47.8 | 12.0 | .49 | NS |
| Army | | | | | | |
| RC | 50.3 | 10.0 | 49.3 | 9.1 | .25 | NS |
| RV | 53.0 | 10.5 | 50.6 | 10.3 | .52 | NS |
| LC | 48.4 | 10.2 | 53.2 | 13.1 | -.89 | NS |
| M | 47.9 | 9.4 | 44.9 | 8.8 | .76 | NS |
| CLS | 50.6 | 9.8 | 51.0 | 9.6 | -.11 | NS |
| Total Sample | | | | | | |
| RC | 50.0 | 11.2 | 49.1 | 10.6 | .28 | NS |
| RV | 51.8 | 10.7 | 49.7 | 10.5 | .70 | NS |
| LC | 49.0 | 11.8 | 50.9 | 12.7 | -.56 | NS |
| M | 49.5 | 10.7 | 46.3 | 10.4 | 1.09 | NS |
| CLS | 50.3 | 10.3 | 50.0 | 10.4 | .12 | NS |
### TABLE 15
Summary PAT Statistics for Civilian (N = 16) Army (N = 25) and Combined Sample (N = 41) Children Whose Parents Hold Extreme Attitudes About Shifting the Family Home (Scale 4)
| Group | Negative Attitude | Positive Attitude |
|-------|-------------------|-------------------|
| | M | SD | M | SD | t | p |
| Civilian | | | | | | |
| RC | 44.5 | 12.4 | 53.3 | 10.0 | .80 | NS |
| RV | 47.3 | 10.6 | 52.1 | 13.1 | -.74 | NS |
| LC | 47.9 | 12.3 | 52.0 | 12.6 | -.58 | NS |
| M | 48.6 | 12.1 | 53.5 | 10.9 | -.72 | NS |
| CLS | 46.6 | 9.9 | 52.4 | 11.8 | -.99 | NS |
| Army | | | | | | |
| RC | 54.7 | 12.0 | 49.7 | 12.2 | .82 | NS |
| RV | 58.0 | 12.3 | 51.8 | 12.6 | .33 | NS |
| LC | 46.3 | 18.8 | 49.3 | 13.9 | -.41 | NS |
| M | 54.3 | 13.2 | 48.0 | 12.3 | 1.01 | NS |
| CLS | 53.0 | 9.3 | 50.3 | 12.2 | .46 | NS |
| Total Sample | | | | | | |
| RC | 47.5 | 12.8 | 50.3 | 11.8 | -.72 | NS |
| RV | 50.4 | 11.8 | 51.8 | 12.4 | -.36 | NS |
| LC | 47.4 | 13.5 | 49.8 | 13.5 | -.54 | NS |
| M | 50.2 | 12.3 | 48.9 | 12.1 | .36 | NS |
| CLS | 48.5 | 9.9 | 50.6 | 11.9 | -.62 | NS |
3.7 Other Findings Arising From a Study of the Data
The major purpose of this study has been to compare some aspects of the academic achievement of army children with comparable civilian children in relation to turbulence and parental attitudes. In addition to the findings presented a number of other interesting comparisons can be drawn from the existing data.
Table 9 showed that army children achieved higher PAT results on all but the Listening Comprehension Test. While only the Reading Vocabulary Test difference in favour of the army children was significant this trend posed some interesting questions. European children are known to achieve better school results than Maori children (Mitchell, 1970; Harker, 1971; Bray & Hill, 1973; St. George, 1977). Knowing there was a higher proportion of Maoris in the army sample than in the civilian sample (Table 2) one might have expected the trend in PAT results to be in the direction opposite to that found. Do army Maoris achieve better PAT results than civilian Maoris? Do army Europeans do better on the PAT than civilian Europeans?
The data presented in Table 16 shows that army Maoris attended significantly more schools than civilian Maoris; approximately twice as many. In terms of PAT performance army Maoris achieved higher standard scores than civilian Maoris on all of the PAT but the difference in group mean standard scores is significant for only the Reading Comprehension and the Mathematics Tests. There is no significant difference in JEPI scores although army Maoris were slightly more extraverted and neurotic than the civilian Maoris.
| Variable | M | SD | t | P |
|---------------------------|-----|-----|------|-------|
| **Number of Schools** | | | | |
| Civilian Maori | 2.3 | 1.8 | -2.90| ** |
| Army Maori | 4.1 | 2.6 | | |
| **Reading Comprehension** | | | | |
| Civilian Maori | 44.7| 10.2| -2.10| * |
| Army Maori | 50.4| 9.5 | | |
| **Reading Vocabulary** | | | | |
| Civilian Maori | 43.6| 10.8| -1.63| NS |
| Army Maori | 48.4| 10.2| | |
| **Listening Comprehension**| | | | |
| Civilian Maori | 44.1| 10.6| -1.06| NS |
| Army Maori | 47.1| 10.2| | |
| **Mathematics** | | | | |
| Civilian Maori | 44.2| 7.4 | -1.97| * |
| Army Maori | 48.3| 7.6 | | |
| **Extraversion** | | | | |
| Civilian Maori | 16.5| 2.8 | -.79 | NS |
| Army Maori | 17.3| 4.1 | | |
| **Neuroticism** | | | | |
| Civilian Maori | 12.1| 4.5 | -1.95| NS |
| Army Maori | 14.5| 4.4 | | |
| **Lie** | | | | |
| Civilian Maori | 3.5 | 2.4 | 1.74 | NS<sup>a</sup> |
| Army Maori | 2.5 | 1.5 | | |
*Note.* <sup>a</sup>Separate variance estimate was used.
* p < .05.
** p < .01.
| Variable | M | SD | t | p |
|---------------------------|-----|-----|------|-------|
| **Number of Schools** | | | | |
| Civilian European | 2.1 | 1.9 | -4.39| *** |
| Army European | 3.5 | 1.5 | | |
| **Reading Comprehension** | | | | |
| Civilian European | 48.8| 10.6| -1.80| NS |
| Army European | 52.1| 11.0| | |
| **Reading Vocabulary** | | | | |
| Civilian European | 48.4| 9.9 | -2.92| *** |
| Army European | 53.7| 11.6| | |
| **Listening Comprehension**| | | | |
| Civilian European | 49.7| 10.4| -.25 | NS<sup>a</sup> |
| Army European | 50.3| 14.9| | |
| **Mathematics** | | | | |
| Civilian European | 49.3| 11.4| -.67 | NS |
| Army European | 50.7| 11.8| | |
| **Extraversion** | | | | |
| Civilian European | 17.1| 3.4 | 1.49 | NS<sup>a</sup> |
| Army European | 15.7| 5.6 | | |
| **Neuroticism** | | | | |
| Civilian European | 12.9| 5.0 | .66 | NS |
| Army European | 12.3| 5.3 | | |
| **Lie** | | | | |
| Civilian European | 2.9 | 2.0 | -.99 | NS |
| Army European | 3.2 | 1.9 | | |
**Note.** <sup>a</sup>Separate variance estimate was used.
*** p < .001.
Table 17 follows the same trend observed in Table 16. That is, for the European subset army children attended more schools and achieved higher PAT results than civilian children. The significant differences occur on the number of schools attended and Reading Vocabulary variables. The JEPI variables do not have any significant differences.
As one might have expected from previous New Zealand research noted above, differences were found between Maori and European samples regardless of their civilian-army categorization.
Table 18 shows the differences between Maori and European children. Maori children attended significantly more schools than European children and European children tended to achieve higher PAT standard scores than Maori children, with significant differences on the Reading Vocabulary, Listening Comprehension and Mathematics Tests.
| Variable | M | SD | t | p |
|---------------------------|-----|-----|------|-------|
| **Number of Schools** | | | | |
| Maori | 3.3 | 2.5 | 2.02 | *a |
| European | 2.6 | 1.9 | | |
| **Reading Comprehension** | | | | |
| Maori | 47.5| 10.4| -1.37| NS |
| European | 49.9| 10.8| | |
| **Reading Vocabulary** | | | | |
| Maori | 45.9| 10.9| -2.45| * |
| European | 50.1| 10.7| | |
| **Listening Comprehension**| | | | |
| Maori | 45.3| 10.9| -2.49| ** |
| European | 49.9| 12.0| | |
| **Mathematics** | | | | |
| Maori | 46.2| 8.0 | -2.48| **a |
| European | 49.8| 11.5| | |
| **Extraversion** | | | | |
| Maori | 17.0| 3.5 | .49 | NS |
| European | 16.7| 4.2 | | |
| **Neuroticism** | | | | |
| Maori | 13.6| 4.6 | 1.11 | NS |
| European | 12.7| 5.1 | | |
| **Lie** | | | | |
| Maori | 2.6 | 2.1 | .45 | NS |
| European | 2.5 | 2.1 | | |
*Note.* a Separate variance estimate was used.
* $p < .05$.
** $p < .01$.
Gender While no hypotheses were specifically formulated to address male-female differences in academic achievement or personality, certain studies have suggested that the military environment may effect boys and girls differently (Baker et al., 1967; Wagner and Feletti, 1974; McCubbin and Dahl, 1976). Accordingly the sample was examined for male-female differences on some variables.
The data presented in Table 19 indicates there is no significant difference between groups of male and female children on any of the PAT measures nor on the extraversion or lie scales. There is however a significant difference between the sexes on the neuroticism scale. The female mean score is comparable with the New Zealand standardization by Bowler and Leitch (1972) but the male score is not. The males in this study scored below the New Zealand mean score on the neuroticism scale.
Separate mean scores for the sexes are reported in British and New Zealand standardizations of the JEPI. The interested reader is directed to the tables of summary statistics for males and females in this study reported in Appendix D.
### TABLE 19
Summary Statistics for Boys (N = 130) and Girls (N = 88)
on Various Dimensions
| Variable | Male | Female |
|---------------------------|----------|----------|
| | M | SD | M | SD | t | p |
| Reading Comprehension | 48.6 | 10.9 | 49.1 | 10.4 | -.37 | NS |
| Reading Vocabulary | 48.1 | 10.9 | 49.5 | 11.1 | -.92 | NS |
| Listening Comprehension | 49.3 | 11.4 | 46.2 | 13.2 | 1.86 | NS |
| Mathematics | 48.3 | 11.3 | 48.2 | 10.3 | .04 | NS |
| Extraversion | 17.0 | 3.5 | 16.2 | 4.8 | 1.27a| NS |
| Neuroticism | 12.0 | 4.7 | 14.4 | 5.1 | -3.39| *** |
| Lie | 2.3 | 2.0 | 2.9 | 2.2 | -1.94| NS |
**Note.** \(^a\) Separate variance estimate was used.
*** \(p < .001\).
3.8 Multiple Regression Analyses
The data presented so far have shown that there are no major differences in academic achievement, nor on the personality dimensions of extraversion and neuroticism, between comparable groups of civilian and army children. Although the army children experienced more turbulence than the civilian children.
Comparisons of data subsets subsequent to testing the initial hypotheses suggested that while Europeans generally performed better on the PAT than Maoris, both Maori and European army children achieved higher PAT standard scores than their civilian counterparts. It seemed that both ethnicity and the civilian-army variables may have been implicated with PAT performance. Such characteristics, together with the imbalance of the total sample in terms of gender and ethnicity (see Tables 2 and 3), caused some concern about the possible effect of these variables on the validity of the results of the civilian-army comparisons undertaken thus far.
Multiple regression methods as described in Kerlinger and Pedhazur (1973) were therefore employed to address questions arising from such concerns about the actual importance of the civilian-army variable and the extent of its contribution to the variation in PAT performance relative to other factors.
Multiple regression is a general statistical technique by which the relationship between a dependent variable and a set of independent variables may be analysed. The application of the step-wise multiple regression technique enabled analyses of the collective and separate contributions of several independent variables to variation in the
dependent variable - PAT performance. The relative importance of the independent variables as "explanations" of the variance was ascertained.
The data already presented, together with research cited earlier, suggest that the factors most pertinent to academic achievement and measured in this study, are: (a) the civilian-army category (b) number of schools attended (c) amount of short and (d) long term absence of the father from home (e) ethnicity and (f) gender. These variables as defined in Chapter 2 were included in the regression analyses.
The matrix of correlation coefficients between PAT standard scores and the six independent variables is reported in Table 20. The significant relationships shown in Table 20 have been noted earlier.
Multiple regression analyses of the Reading Vocabulary, Reading Comprehension and Mathematics Tests are reported in Tables 21, 22, and 23 respectively. Multiple regression analysis on the Listening Comprehension Test is not reported in the text because neither the collective nor separate contributions of the independent variables to variation in the criterion or dependent variable was sufficiently large to warrant further detailed consideration.
In evaluating the contribution and relative importance of the independent variables the reader's attention is directed to the columns in Tables 21 to 23 titled "Zero Order Variance accounted for" and "Variance accounted for when entered last". The first column reports the squared zero order correlation coefficient which indicates the proportion of variance accounted for in the criterion variable by each of the
| | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 | 10 |
|----------------|-------|-------|-------|-------|-------|-------|-------|-------|-------|-------|
| 1. Reading Comprehension | 1.00 | | | | | | | | | |
| 2. Reading Vocabulary | .78** | | | | | | | | | |
| 3. Listening Comprehension | .60** | .61** | | | | | | | | |
| 4. Mathematics | .61** | .64** | .46* | | | | | | | |
| 5. Gender | .06 | .08 | -.05 | .03 | | | | | | |
| 6. Ethnic Group | .09 | .13 | .15 | .17 | -.09 | | | | | |
| 7. Civilian-Army | .17 | .17 | -.02 | .02 | .16 | -.23* | | | | |
| 8. Number of Schools | .07 | .10 | -.04 | .06 | .11 | -.10 | .29** | | | |
| 9. Long Term Absence | -.08 | -.10 | -.09 | -.08 | .05 | -.18 | .33** | .27** | | |
| 10. Short Term Absence | -.06 | -.06 | -.13 | -.08 | .11 | -.01 | .42** | .25** | .59** | 1.00 |
Note. * Values beyond .20 are significant at $p < .05$; two tailed test.
** Values beyond .24 are significant at $p < .01$; two tailed test.
TABLE 21
Multiple Regression Analyses - Reading Vocabulary
Criterion - Reading Vocabulary Standard Score
Multiple Correlation Coefficient (R) = .32
\[ r^2 = .10 \]
F Ratio = 2.44*
| Variable | Beta | F to delete | Zero Order Variance accounted for | Variance accounted for when entered last |
|-------------------|------|-------------|----------------------------------|----------------------------------------|
| Civilian-Army | .26 | 7.30 | .03 | .05** |
| Ethnic Group | .19 | 4.58 | .02 | .03* |
| Short Term Absence| -.13 | 1.47 | .00 | .01 |
| Number of Schools | .10 | 1.23 | .01 | .01 |
| Long Term Absence | -.11 | 1.00 | .01 | .01 |
| Gender | .06 | .46 | .01 | .00 |
\[^{1}\text{Variance accounted for when variable X is entered last can be calculated from the sum of squares of the variable when entered last (SS}_{xi}, divided by the total sum of squares (SS}_y). SS}_{xi} can be calculated by multiplying F to delete (F}_{del}) from the last step in a stepwise analysis, by the mean square of the residual (\theta^2). Hence: variance accounted for when entered last = \frac{F}_{del}\theta^2}{SS}_y\]
This is equivalent to \( R^2 \) with X entered last, minus \( R^2 \) without X, from the previous step (Kerlinger and Pedhazur, 1973, pp. 290-295)" (Harker, 1976, p.62).
independent variables. The second column reports the amount of variance accounted for by the independent variable after interactions with other independent variables have been semi-partialled out of the regression analysis. This column indicates the unique contribution made by each independent variable after controlling for any indirect effects made through the covariance of one independent variable with the other independent variables.
Inspection of Table 21 shows that the multiple correlation coefficient for the Reading Vocabulary Test is significant. None of the zero order correlation coefficients for the six independent variables reached significance. The variables civilian-army and ethnic group do however make significant direct contributions to the variance in Reading Vocabulary standard scores when account is taken of the other intervening variables. The fact that the variance accounted for when these two variables are entered last is more than the zero order variance accounted for, suggests that the other independent variables tend to mask out the unique contributions of the civilian-army and ethnicity variables to the variation in Reading Vocabulary standard scores. The civilian-army variable was found to account for 5% of the variance, and ethnicity 3% of the variance in Reading Vocabulary standard scores. Although specification error cannot be overlooked in this type of analysis the major factors thought to be operating on PAT performance have been included.
This analysis shows that both the civilian-army and ethnicity variables were found to have a significant effect on Reading Vocabulary standard scores, while gender and the three turbulence variables did not.
The importance of the direct contributions of the civilian-army and ethnicity variables however, is minor in explaining the variance in Reading Vocabulary standard scores, since most of the variance remains unaccounted for.
Table 22 shows the multiple regression coefficient on the Reading Comprehension standard scores was not significant. Furthermore, none of the independent variables reached significance collectively or separately in accounting for the variance in Reading Comprehension standard scores except the civilian-army variable, when the effects of the other factors were semi-partialled out of the regression analysis. The civilian-army variable made a significant direct contribution to the variance in Reading Comprehension standard scores although the amount of variance accounted for was too small for much importance to be attached to the contribution of that dichotomy.
TABLE 22
Multiple Regression Analyses - Reading Comprehension
Criterion - Reading Comprehension Standard Score
Multiple Correlation Coefficient (R) - .28
\[ r^2 = .08 \]
F Ration = 1.83 (NS)
| Variable | Beta | F to delete | Zero Order Variance accounted for | Variance accounted for when entered last |
|---------------------|------|-------------|----------------------------------|----------------------------------------|
| Civilian-Army | .26 | 7.27 | .03 | .05** |
| Short Term Absence | -.15 | 1.77 | .00 | .01 |
| Ethnic Group | .14 | 2.67 | .01 | .02 |
| Long Term Absence | -.07 | .39 | .01 | .00 |
| Number of Schools | .05 | .37 | .01 | .00 |
| Gender | .03 | .20 | .00 | .00 |
**p < .01.
TABLE 23
Multiple Regression Analyses - Mathematics
Criterion - Mathematics Standard Score
Multiple Correlation Coefficient (R) = .24
\[ r^2 = .06 \]
F Ratio = 1.29 (NS)
| Variable | Beta | F to delete | Zero Order Variance accounted for | Variance accounted for when entered last |
|------------------------|------|-------------|----------------------------------|------------------------------------------|
| Ethnic Group | .20 | 4.97 | .03 | .03* |
| Number of Schools | .10 | .99 | .00 | .01 |
| Short Term Absence | -.13 | 1.36 | .01 | .01 |
| Civilian-Army | .10 | 1.04 | .00 | .01 |
| Gender | .04 | .19 | .00 | .00 |
| Long Term Absence | -.03 | .06 | .01 | .00 |
*p < .05.*
The data presented in Table 23 similarly shows that the multiple regression correlation coefficient on the Mathematics Test was not significant and that except for the ethnicity variable none of the other independent variables made significant collective or separate contributions to the variance in criterion variable. The ethnic group variable did make a significant but very minor direct contribution to the variance in Mathematics standard scores.
The data presented in Tables 21 to 23 show that the independent variables entered into these regression analyses are of little practical importance in determining PAT performance. The ethnicity variable made a small but unique contribution to the variance in Reading Vocabulary and Mathematics Test performance. Given that the civilian-army dichotomy is central to this investigation the multiple regression analyses undertaken were useful in demonstrating the unique contribution of the civilian-army variable to the variance in Reading Vocabulary and Reading Comprehension Tests when the effects of the other intervening variables are accounted for.
DISCUSSION AND CONCLUSION
The fundamental question posed for this research concerns the concomitant effects - beneficial and detrimental - of servicemen's pursuit of military careers on their children's educational success. Military careers involve certain conditions of service that intrude into a serviceman's family life; particularly a high rate of geographic mobility. That is to say, employment in the New Zealand army introduces through postings a degree of mobility not normally experienced in the pursuit of civilian careers. And it is often presumed that mobility places service children at a disadvantage educationally. It has also been suggested that parental attitudes to the service environment, and adaptations to service conditions, may have a bearing on children's ability to cope with mobility.
This cross-sectional study represents an attempt to empirically evaluate these propositions. The following is a discussion of children's academic achievement levels in relation to certain biographic characteristics of the children, educational turbulence, and parental attitudes to certain features of military and itinerant employment.
Since the focus of this study has been army and civilian academic achievement differences, samples of Form II army and civilian children, having comparable biographic characteristics and being schooled under similar circumstances, were compared.
When mobility rates and the amount of father absence experienced by army and civilian children were examined it was found that army children experienced approximately twice as much turbulence as the civilian
children (Tables 4, 5, and 6).
As this kind of turbulence is a prominent feature of service life the above finding was expected and it is consistent with most research in the U.S.A., Canada, Britain, New Zealand and Australia (Gabower, 1960; Francis, 1971; Firth, 1972, 1973; Win, 1972, 1974; Mackay and Spicer, 1975 respectively). It is clear that turbulence is a fact of life for army children in New Zealand.
The criterion variable - academic achievement - was examined next. Comparisons of group performance on the Reading Comprehension, Listening Comprehension and Mathematics tests (Table 9) showed there were no significant differences in educational attainment within these domains between army and civilian children. It was found however that the army children achieved significantly higher results on the Reading Vocabulary test.
Previous research in this field, when considered on the whole tends to generate equivocal conclusions about the effects of turbulence on academic achievement as noted in Chapter 1. However as the recent studies by Win (1974) and Mackay and Spicer (1975) are most pertinent to the present investigation it should be noted that neither reported evidence of detrimental effects of turbulence on the educational attainment of service children. The findings of this study are again consistent with these recent and comparable studies.
It is interesting to note that, their higher degree of turbulence not withstanding, army children did not achieve a lower level of academic achievement than their less turbulent civilian peers.
It is possible that the difference in the amount of turbulence each group experienced was not sufficient to differentiate them academically. It could also be that the relative homogeneity of New Zealand's education system makes it easier for both the system and the children to cope with mobility. That is, the New Zealand education system is relatively homogeneous compared for example to those of Australia, United States and Canada in that it does not have individual state or provincial systems within the national system. Furthermore because New Zealand service establishments are within urban and rural state school catchment areas there are no exclusively military schools. An exception is the New Zealand Forces School in Singapore where the dramatic change in school environment is moderated by the employment of New Zealand teachers; and this change does not normally occur more than once during a child's school years, if at all. The relative homogeneity of New Zealand schools may lessen the amount of adjustment required of children given the uniform curricula and similar school environments and it may tend to simplify administrative procedures on school transfer.
The possibility that the army children's higher Reading Vocabulary test achievement is spurious, or an artifact of the data or sample selection, cannot be overlooked. The author was reliant upon school collected raw data which may have been subject to some systematic error in test administration or marking of a data subset. However, while recognition is given to the risks of inferring trends from data that do not meet set levels of statistical significance, the fact that army children did tend to perform better on three of the four criterion measures does lend weight to the conclusion that the more mobile army children did if anything perform better on these measures of
academic achievement.
Apart from the supposition that a homogeneous school system may facilitate children's coping with turbulence, the fact that army children are members of a somewhat select community may explain their significantly higher achievement on the Reading Vocabulary test and the non-significant trend on the other measures.
The soldier/fathers of these children were selected for service upon criteria purported to exclude from service that segment of the population that is intellectually, educationally, medically or socially unsound. While the reliability and validity of the complex selection process is indeterminate, the latest twelve month recruiting statistics (New Zealand Ministry of Defence, 1977) report that fifty percent of Regular Army applicants were rejected, primarily for the above reasons.
This selectivity, together with the modern military's emphasis on education and specialized training which pervades the environment in which the children are educated, suggests to the author reasons why army children achieved as well and better academically than their comparable but less turbulent civilian peers.
Turning now to the attitudinal data the reader may recall that the four parental attitudes measured were related to each group of children's academic performance. It was found that none of the four civilian parental attitudes were significantly related to their children's academic achievement (Table 10). Similarly army parents attitudes about (a) the effects of mobility on education, and (b) involvement in their children's education were not significantly related to their
children's academic achievement.
Army children's Mathematics and Listening Comprehension test results were however inversely related to their parent's attitudes about the effects of the service environment on the family. Their performance on these tests increased as their parent's attitude about service environmental effects on the family became more negative. Another significant inverse relationship was observed between army children's performance on the Mathematics test and their parent's attitude towards shifting the family home. Army children's Mathematics scores increased as their parent's attitude towards shifting also became more negative.
These relationships are not strong. Nevertheless since the consequences of parental attitudes may be more apparent when the attitudes are extreme, and as the relationships were in the direction opposite to that expected, the author felt constrained to further examine those relationships. Each sample of children was therefore subdivided according to whether their parents held extreme positive or extreme negative attitudes (Tables 12 to 15). For the four attitude scales and for both groups of children (except scale 2 which did not apply to the civilian sample) the only differentiation of Progressive Achievement Test scores occurred in the army sample. Those army children whose parents held an extreme negative attitude about the effect of the service environment on the family performed significantly better on the Mathematics test than army children whose parents held this attitude in the extreme positive. A non-significant trend in the data is that army children whose parents held this attitude in the extreme negative scored better on all the academic achievement measures (Table 13).
This significant finding supports the earlier one of an inverse relationship between army parents attitudes about service environmental effects and their children's Mathematics test performance. The data may be of no great moment given the uncertainties of attitude measurement. Nevertheless because this inverse relationship was observed in both analyses it may be of some consequence.
One possible explanation may lie in compensatory action of parents that may be implicated with some children's higher academic achievement. Anecdotal evidence observed by the author whilst a military psychologist indicates that some parents who believe the service environment detrimentally effects their family attempt to compensate their children for the perceived deleterious effects.
In terms of children's education compensation may include
(a) extra tuition in the cumulative subjects like mathematics where discrepancies in curricula may have immediate consequences
(b) ensuring the children's school records arrive at the new school with the child (c) increased contact with school administrators and teachers (d) taking an active role in school activities (e) awareness of their child's adjustment to a new school. These kinds of educational compensation may also be supplied by the children's teachers. While such compensation may not itself cause increased academic achievement it may mitigate some deleterious effects of turbulence. Research by Lopate et al. (1970) and Cowie (1974) has shown that such compensation is conducive to children's academic success.
The other two inverse relationships observed in the army sample are not considered to be of sufficient strength to suggest the uncovering of any important relationships; particularly as the extremes of those attitudes did not significantly differentiate the children academically.
The original hypotheses that gave rise to the preceding discussion concerned the relations between parental attitudes towards certain aspects of military and intinerant employment and children's academic achievement. Overall the findings suggest that, with one possible exception, there is no evidence of any consistent or strong relationships between the parental attitudes measured and children's academic achievement.
The possible exception concerns the higher academic achievement of army children whose parents perceive deleterious effects of the service environment on the family. It is conjectured that such parents may compensate their children, to an indeterminate effect, for any perceived educational disadvantages.
The hypothesis that army children are not different from civilian children in behaviour that is characteristic of the personality traits of extraversion - introversion and neuroticism - stability was sustained. No important differences were found between the two groups along these personality dimensions (Table 11). This finding is consistent with that of Mackay and Spicer (1975) regarding Australian service children. Since no difference was found, the relationship between the children's degree of extraversion and neuroticism and their academic achievement was not investigated.
In the course of the study it became apparent that the data could also be used to investigate a number of related but subsidiary questions. The results of further analyses are now discussed.
A comparison of ethnic group performances on the academic achievement measures was undertaken because (a) any ethnic group performance differences may have effected the outcome of civilian-army group comparisons given the ethnic imbalance of the samples (Table 3) (b) it was of interest to determine if within these selected samples ethnic group performance differences conformed to national data, and finally to look, albeit briefly, at comparative performances of ethnic groups from civilian and army backgrounds.
These comparisons showed that European children achieved higher Progressive Achievement Test results than Maori children (Table 18); a finding that conforms to the national data. But, interestingly, it was found that army Maori children achieved significantly higher Reading Comprehension and Mathematics test results than civilian Maori children (Table 16). Also army Europeans achieved significantly higher Reading Vocabulary test results than civilian Europeans (Table 17).
These findings suggested that both the civilian-army and ethnicity variables may have had some independent or conjoint influence on the children's academic achievement. To investigate this possibility multiple regression analyses were employed to consider the independent effects of the following variables on academic achievement:
(a) mobility (b) short and (c) long term absence of the father (d) gender (e) ethnicity and (f) the civilian-army category.
The specified variables were weak in accounting for the variance in academic performance although the civilian-army and ethnicity variables did make independent, albeit minimal, contributions (Tables 21 to 23). The large amount of unexplained variance may be attributed to other unspecified variables or to individual differences in performance on the dependent measures. It seems that the higher achievement of army Maoris over civilian Maoris may be attributed to their membership in the somewhat select army sample, as previously explained.
Overall how far one can generalize these findings is a difficult question. It is necessary to note however that the army sample data pertains to children whose fathers work in three of the four main Army Camps in New Zealand. While the representativeness of the sample is unknown, the sample characteristics suggest that it is not markedly different from the army population. Accordingly it seems reasonable to venture the suggestion that the findings would reflect the situation, in relation to the comparative educational data, of army and civilian children at the level studied.
The fact that the concern of this study was the effects of turbulence manifest in children's academic achievement after seven or eight years of schooling should however be emphasised. It is possible that some children may have been advantaged or disadvantaged quite significantly in the short term by stable or turbulent schooling. But any advantage or disadvantage experienced was not observed in their academic performance at the Form II level. Furthermore group turbulence and performance measures were compared. Thus any marked
consequences individual children may have experienced because of their relatively stable or turbulent schooling are not necessarily made apparent by this investigation.
In short, when considering the findings of this study it should be emphasised that some individual children may have been beneficially or detrimentally effected by relatively stable or turbulent school experiences either in the short term or in the long term. Detection particularly of detrimental consequences of turbulence, and their remediation, in the case of the individual child remains a task and a challenge for the sensitive teacher and parents, hopefully with the assistance of the employing authority whose conditions of work may possibly be a contributing factor.
Perhaps it should also be noted that in speaking about service life it cannot be assumed that this study, bearing as it does upon peace-time Army personnel, necessarily reflects the situation in the Navy or Air Force establishments, nor in the Armed Forces during time of war.
4.1 Summary of Conclusions
In summary the conclusions of this study are:
(a) Army children experience more turbulence than comparable civilian children.
(b) There is no evidence that army children achieve less academically than their comparable but less turbulent civilian peers.
(c) There is no evidence of consistent and strong relationships between parents' attitudes to military and peripatetic employment, and their children's academic achievement. Although there remains the suggestion that army children whose parents believe strongly that the service environment is detrimental to family life, achieve better Mathematics test results than children whose parents hold a strongly favourable attitude about military environmental effects on the family.
(d) Army and civilian children do not differ in behavioural traits characteristic of the extraversion - introversion and neuroticism - stability personality dimensions.
Hopefully these findings may be of interest to those specifically interested in the education of service children, and more generally to educators working with increasingly mobile populations.
The results of this study may also induce those parents and teachers who believe service children are educationally disadvantaged to reassess individual cases of inadequate academic performance. A re-assessment in view of the above may affirm that a particular child has been disadvantaged educationally by a turbulent schooling; or it may generate alternate and possibly more valid explanations for inadequate academic achievement. Accurate assessment of the reasons for poor achievement can only facilitate the development of effective remedial action.
DO CHILDREN WHO SHIFT HOME AND SCHOOLS FREQUENTLY DO BETTER OR WORSE AT SCHOOL THAN CHILDREN WHO DON'T?
This question is of interest to people whose work requires them to shift frequently, thereby causing their children to change schools frequently.
Servicemen and mobile civilian groups have a special interest in this question.
As a psychologist I am undertaking research to identify some possible effects frequent changes of home and school may have on mobile children's education.
The conclusions of this study will be made available to the Army and to the Department of Education.
In order to measure some of the factors related to the above I would appreciate your assistance by completing the enclosed questionnaire.
The questions relate mainly to your child who is presently in Form II.
To obtain accurate and reliable information your own views and experiences are most important. However the findings reported will be about groups of children and not about any individual child or family. All information in this questionnaire will be treated as
STRICTLY CONFIDENTIAL.
The number on your questionnaire gives me a record of having received your reply. Outside of myself, no one will have access to the completed questionnaires or know who completed them. When the study is finished the questionnaires will be destroyed as classified waste.
The responsibility for the project is entirely my own. The study has the approval and assistance of Massey University, the Board of Education and your school principal.
If you have any questions about the questionnaire or the project I will be pleased to answer them. I may be contacted at the above address.
Thank you very much for your efforts and co-operation.
Sincerely,
D. A. KEWIN B.A. RNZAEC
Captain
PART A
This questionnaire should be completed by the Serviceman/father and his wife (for civilians the father and wife). If this is not possible it may be completed by either party. Please indicate with a ☑ who is completing the questionnaire.
1. Serviceman/father alone [ ] Wife alone [ ]
Jointly [ ]
2. Rank of Serviceman/father
Soldier [ ]
Officer [ ]
Civilian [ ]
3. Occupation ____________________________
4. This questionnaire is mainly about your child who is now in Form II. Please print his/her name in the space provided.
_____________________________ _______________________
5. The child in Form II was:
| First born | Second born | Third born | Fourth born | Fifth born | Sixth born | Seventh born | Eighth born | Nineth born | Tenth born |
|------------|-------------|------------|-------------|------------|------------|--------------|-------------|-------------|------------|
6. How many children in this family are living at home? ______
PART B
7. To the best of your knowledge, how many schools has this child attended (for more than one week) including from commencement (Primmer I) and this year? ______
8. To the best of your knowledge, how many teachers (for more than one week) has this child had since Primmer I? ______
9. To the best of your knowledge, how many times has your family shifted the family home since the child in Form II started Primmer I? ______
10. What is the total number of times you have shifted the family home? (for any reason). ______
STRICTLY CONFIDENTIAL
Please complete the following questions about the serviceman/father's long term and short term absences from the home.
11. **Long-term absences of serviceman or father**
'Long-term absence' means any continuous absence from the family for a period longer than one month. Write in the Total number of months absent for each year for the past five years (0 to 12, to the nearest month).
If no long-term absences, write 0
| Total Number of Months in 1976 | |
|-------------------------------|---|
| Total Number of Months in 1975 | |
| Total Number of Months in 1974 | |
| Total Number of Months in 1973 | |
| Total Number of Months in 1972 | |
12. **Short-term absences of serviceman or father**
'Short-term absence' means any absence from the family for a period between 1 day and 30 days at a time (i.e. absences less than one month at a time.) Count over-night duties.
As it may be impossible to recall these periods exactly, estimate the total time that the serviceman or father was absent for short-terms in each of the years, 1974, 1975 and 1976.
For each of the three years, write the absence category in the box provided.
| Total Absences | Absence Category | Year | Absence Category |
|----------------------|------------------|------|------------------|
| 0 to 50 days | 1 | 1976 | |
| 51 to 100 days | 2 | 1975 | |
| 101 to 150 days | 3 | 1974 | |
| 151 to 200 days | 4 | | |
| more than 200 days | 5 | | |
PART C
13. Which one of the following statements best describes your opinion of the effects of mobility (regular postings or shifting home because of father's job) on the PERSONAL DEVELOPMENT of your child in Form II?
(Place ☑ in the appropriate box).
- Beneficial with few, if any, harmful effects
- Mainly beneficial, but some harmful effects
- Mainly harmful, but some beneficial effects
- Harmful with few, if any, beneficial effects
- Some beneficial and some harmful effects, but they tend to balance out
- No effects
- Undecided as to the effects
14. Which of the following statements best describes your opinion of the effects of SCHOOL CHANGES on the EDUCATIONAL DEVELOPMENT of your child in Form II?
(Place ☑ in the appropriate box).
- Beneficial with few, if any, harmful effects
- Mainly beneficial, but some harmful effects
- Mainly harmful, but some beneficial effects
- Harmful, with few, if any, beneficial effects
- Some beneficial and some harmful effects, but they tend to balance out
- No effects
- Undecided as to the effects
15. What are the prospects for EDUCATIONAL SUCCESS for your child in general compared to other children's prospects?
(Place ☑ in the appropriate box).
YOUR CHILD IN FORM II
- Much worse
- Worse
- About the same
- Better
- Much better
16. What are the prospects for EDUCATIONAL SUCCESS for service children in general compared to other children's prospects?
(Place ✓ in the appropriate box).
SERVICE CHILDREN IN GENERAL
Much better
Better
About the same
Worse
Much worse
17. What are the prospects for SUCCESS in ADULT LIFE for your child in general compared to other children's prospects?
(Place ✓ in the appropriate box).
YOUR CHILD IN FORM II
Much better
Better
About the same
Worse
Much worse
18. What are the prospects for SUCCESS in ADULT LIFE for service children in general as compared to other children's prospects?
(Place ✓ in the appropriate box).
SERVICE CHILDREN IN GENERAL
Much worse
Worse
About the same
Better
Much better
19. Below is a list of areas in which problems are commonly reported by service families. Rank them from 1 to 10 to show your opinion of the importance of these to your family, where 1 is the most important and 10 is the least important.
| Level of salaries and allowances | |
|----------------------------------|---|
| Frequency of father absence from home | |
| Frequency of postings | |
| Standard of housing | |
| Career opportunities for serving member | |
| Social opportunities for parents | |
| Educational opportunities for children | |
| Employment opportunities for wives | |
| Isolation of Army Camps | |
| Social opportunities for children | |
20. Below is a list of areas in which problems are commonly reported by itinerant people. Rank them from 1 to 10 to show your opinion of the importance of these to your family, where 1 is the most important and 10 is the least important.
| Level of salaries and allowances | |
|----------------------------------|---|
| Frequency of father absence from home | |
| Frequency of shifts of family home because of job | |
| Standard of housing | |
| Career opportunities for the father | |
| Social opportunities for parents | |
| Educational opportunities for children | |
| Employment opportunities for wives | |
| Family living in remote areas | |
| Social opportunities for children | |
21. All families have difficulties sometimes, and possibly more so when the husband is away. In the past 12 months have you experienced any difficulties of the following kinds: (Tick those that apply)
| Financial | |
|-----------|---|
| Families illness | |
| Children's behaviour | |
| Accommodation | |
| Loneliness | |
| Transport | |
| Problems with your marriage | |
| Resettlement | |
| Children's education | |
| Other | |
22. The quality of the education the child in Form II has received since you have been in the Service has been: (Place ✓ in the appropriate box).
Highly satisfactory
Satisfactory
Unsatisfactory
Highly unsatisfactory
Civilians please go to question 25.
23. The educational performance of this child since you have been in the Service has been: (Place ✓ in the appropriate box).
Highly satisfactory
Satisfactory
Unsatisfactory
Highly unsatisfactory
24. In general, how successful are servicemen's children in coping with a change of school?
Highly successful
Successful
Unsuccessful
Highly unsuccessful
No opinion
25. In general, how successful is your child in coping with a change of school?
- Highly successful
- Successful
- Unsuccessful
- Highly unsuccessful
- No opinion
26. Does your child seem to do better at school with male or female teachers?
- Male
- Female
- No difference
27. Does your child, say he or she prefers male or female teachers?
- Male
- Female
- No preference
Specific Effects of the Last Move Only
Questions 23-30 refer to the effects of the last change of schools only. Please indicate any change you noticed for the child in Form II by placing a ✓ against the appropriate response.
28. On arrival at the new school, the child's interest in school:
- increased
- decreased
- was not noticeably affected
29. On arrival at the new school, the child's schoolwork:
- improved
- deteriorated
- was not noticeably affected
30. On arrival at the new school, this child:
- made friends easily
- found it difficult to make friends, but made friends eventually
- did not succeed in making friends
Below are five things that might harm children's education. Rate them from 1 to 5, where 1 is the one most likely to harm and 5 is the one least likely to harm children's education.
| Child change school | |
|---------------------|---|
| Child absent from school for four weeks with a minor illness | |
| Father's commitments outside of work mean his absence from home between the hours of 4:00-10:00pm (1600-2200) | |
| Child's teacher absent for four weeks and replaced by temporary teachers | |
| Father's shift work requires his absence from home between the hours of 4:00-10:00pm (1600-2200) | |
PART E
32. How often has the child's father had personal contact (by telephone or in person) with this child's teacher or school principal about this child, since Primmer I
| Never | Once a School Year | Once a School Term | Once a Month | Once a Week |
|-------|--------------------|--------------------|--------------|-------------|
33. How often has the child's mother or guardian had personal contact (by telephone or in person) with this child's teacher or school principal about this child, since Primmer I
| Never | Once a School Year | Once a School Term | Once a Month | Once a Week |
|-------|--------------------|--------------------|--------------|-------------|
34. Since this child has been in school who has arranged most of the contacts you have had with his/her teacher or Principal? (If you have had no contact please write N/A for this question.)
| serviceman or father | |
|----------------------|---|
| mother | |
| principal | |
| teacher | |
| other | |
35. Was the main reason for the contact to discuss:
- the methods of instruction
- the aims and objectives of the school
- the way children are put into classes
- the methods of assessing pupils
- your child's behaviour in school
- your child's academic achievement (grades, standing in class, etc.)
36. The serviceman/father helps this child with homework:
| Never | Once a Month | Once a Week | Daily | At Exam Time |
|-------|--------------|-------------|-------|--------------|
37. The child's mother (or guardian) helps this child with homework:
| Never | Once a Month | Once a Week | Daily | At Exam Time |
|-------|--------------|-------------|-------|--------------|
PART F
38. In contemplating your next posting or family shift does the serviceman/father generally:
| look forward to it and plan with enthusiasm | accept it as a fact of life | dread the event | refuse to shift again |
39. In contemplating your next posting or family shift does your wife generally:
| look forward to it and plan with enthusiasm | accept it as a fact of life | dread the event | refuse to shift again |
40. Do your children generally:
| look forward to it and plan with enthusiasm | accept it as a fact of life | dread the event | refuse to shift again |
Below is a list of concerns some people have about shifting the family home. Please rank them in order of importance for your family, (1 being the most important).
| financial costs incurred | |
|--------------------------|---|
| purchasing of own home at new location | |
| leaving own home at old location | |
| moving into camp | |
| availability of service or pool house | |
| changing child's school | |
| making child find new friends | |
| establishing a new social life for parents | |
| promotion | |
| new job | |
| inconvenience of moving | |
| moving out of camp | |
| establishing family in a new community | |
Please indicate your answer with a \( \checkmark \).
These questions are about your entire family, including all of your children. Be frank and give your personal views regardless of what you think others may think. The answer that first comes to mind is the best one so do not labour over any questions. There are no right or wrong answers. Civilians please do only questions 42-50 as the others are specific to Service people.
| | STRONGLY AGREE | AGREE | DISAGREE | STRONGLY DISAGREE | HAVE NO OPINION |
|---|----------------|-------|----------|-------------------|-----------------|
| 42. Regular postings (family shifts because of job) are necessary for advancement at work | | | | | |
| 43. Shifting family home every 2-3 years is harmful to the social development of our family | | | | | |
| 44. The serviceman/father adjusts to new communities easily | | | | | |
| 45. The serviceman/father's wife adjusts to a new community easily | | | | | |
| | STRONGLY AGREE | AGREE | DISAGREE | STRONGLY DISAGREE | HAVE NO OPINION |
|---|----------------|-------|----------|-------------------|-----------------|
| 46. | It is my wife's job to look after our children's schooling | | | | |
| 47. | My children's behaviour is better when I am at home than when I am away from home | | | | |
| 48. | Shifting our home every 2-3 years makes it too difficult to get involved in community activities | | | | |
| 49. | Shifting our home every 2-3 years makes it too difficult to get involved in school activities/committees | | | | |
| 50. | Doing well at school is the best way for my children to succeed in life | | | | |
| 51. | In general Service children wear their father's rank at school | | | | |
| 52. | Living in Military Camps restricts the servicemen/father social activities | | | | |
| 53. | Living in a Military Camp restricts my wife's social activities | | | | |
| 54. | Living in a Military Camp restricts my children's social activities | | | | |
| 55. | It is easier for my wife and I to make friends with military people than civilian people | | | | |
| 56. | My wife prefers civilian friends, to military friends | | | | |
| 57. | I prefer to have my family living in Camp rather than civilian accommodation | | | | |
| 58. | Living in a Service environment encourages our children to do well at school | | | | |
If there is any information you wish to add about mobility and your children's education please do so here. If any additional comment applies to or is an explanation of a particular question please indicate the number of that question beside your comment.
Once again, thank you for your effort and assistance. I look forward to receiving your completed questionnaire in the enclosed self addressed envelope.
Scale 1
Parents attitude about the effects of mobility on education.
Answer categories may be learned by reference to Appendix A since each question is numbered as in the Parent Questionnaire.
13. Which one of the following statements best describes your opinion of the effects of mobility (regular postings or shifting home because of father's job) on the PERSONAL DEVELOPMENT of your child in Form II?
14. Which of the following statements best describes your opinion of the effects of SCHOOL CHANGES on the EDUCATIONAL DEVELOPMENT of your child in Form II?
25. In general, how successful is your child in coping with a change of school?
Specific Effects of the Last Move Only
Questions 28-30 refer to the effects of the last change of schools only. Please indicate any change you noticed for the child in Form II by placing a \( \checkmark \) against the appropriate response.
28. On arrival at the new school, the child's interest in school:
29. On arrival at the new school, the child's schoolwork:
30. On arrival at the new school, this child:
Scale 2
Parent's attitudes about the effects of the service environment on the family.
16. What are the prospects for EDUCATIONAL SUCCESS for service children in general compared to other children's prospects?
18. What are the prospects for SUCCESS in ADULT LIFE for service children in general as compared to other children's prospects?
22. The quality of the education the child in Form II has received since you have been in the Service has been:
23. The educational performance of this child since you have been in the Service has been:
24. In general, how successful are servicemen's children in coping with a change of school?
51. In general Service children wear their father's rank at school.
52. Living in Military Camps restricts the serviceman/father's social activities.
53. Living in a Military Camp restricts my wife's social activities.
54. Living in a Military Camp restricts my children's social activities.
55. It is easier for my wife and I to make friends with military people than civilian people.
56. My wife prefers civilian friends, to military friends.
57. I prefer to have my family living in Camp rather than civilian accommodation.
58. Living in a Service environment encourages our children to do well at school.
Scale 3
Parent's attitude towards involvement in their child's education.
32. How often has the child's father had personal contact (by telephone or in person) with this child's teacher or school principal about this child, since Primmer I?
33. How often has the child's mother or guardian had personal contact (by telephone or in person) with this child's teacher or school principal about this child, since Primmer I?
34. Since this child has been in school who has arranged most of the contacts you have had with his/her teacher or Principal? (If you have had no contact please write N/A for this question.)
36. The serviceman/father helps this child with homework:
37. The child's mother (or guardian) helps this child with homework:
46. It is my wife's job to look after our children's schooling.
49. Shifting our home every 2-3 years makes it too difficult to get involved in school activities/committees.
50. Doing well at school is the best way for my children to succeed in life.
Parent's attitude towards shifting the family home.
38. In contemplating your next posting or family shift does the serviceman/father generally:
39. In contemplating your next posting or family shift does your wife generally:
40. Do your children generally:
42. Regular postings (Family shifts because of job) are necessary for advancement at work.
43. Shifting family home every 2-3 years is harmful to the social development of our family.
48. Shifting our home every 2-3 years makes it too difficult to get involved in community activities.
49. Shifting your home every 2-3 years makes it too difficult to get involved in school activities.
## Table A
Summary Statistics of Extreme Groups for the Attitude Scales for Civilian (N = 90) and Army (N = 63) and Total Sample (N = 153) Children
| Group | N of Subjects in Extreme Groups | M | SD |
|-------|---------------------------------|-----|-----|
| | | | |
| Civilian | | | |
| Scale 1 | 24 | 12.6| 2.2 |
| Scale 2 | 4 | 39.4| 1.5 |
| Scale 3 | 27 | 24.3| 3.3 |
| Scale 4 | 16 | 21.7| 4.3 |
| Army | | | |
| Scale 1 | 20 | 13.6| 2.4 |
| Scale 2 | 31 | 43.3| 5.0 |
| Scale 3 | 23 | 25.6| 3.2 |
| Scale 4 | 25 | 25.5| 4.7 |
| Total Sample | | | |
| Scale 1 | 44 | 13.0| 2.3 |
| Scale 2 | 35 | 41.0| 3.9 |
| Scale 3 | 50 | 24.8| 3.3 |
| Scale 4 | 41 | 23.3| 4.8 |
**Note:** Extreme groups were determined by Total Sample M and SD.
## Table B
**Summary Statistics of Extreme Attitude Groups Determined by Parameters of Each Group of Civilian (N = 90), Army (N = 63) and Total Sample (N = 153)**
### Children
| Group | N of Subjects in Extreme Groups | M | SD |
|-------|---------------------------------|-----|-----|
| | | | |
| Civilian | | | |
| Scale 1 | 27 | 12.6| 2.2 |
| Scale 2 | 10 | 39.4| 1.5 |
| Scale 3 | 34 | 24.3| 3.3 |
| Scale 4 | 27 | 21.7| 4.3 |
| Army | | | |
| Scale 1 | 21 | 13.6| 2.4 |
| Scale 2 | 21 | 43.3| 5.0 |
| Scale 3 | 22 | 25.6| 3.2 |
| Scale 4 | 19 | 25.5| 4.7 |
| Total Sample | | | |
| Scale 1 | 44 | 13.0| 2.3 |
| Scale 2 | 35 | 41.0| 3.9 |
| Scale 3 | 50 | 24.8| 3.3 |
| Scale 4 | 41 | 23.3| 4.8 |
APPENDIX E
Table E
Multiple Regression Analyses - Listening Comprehension
Criterion - Listening Comprehension Score
Multiple Correlation Coefficient (R) = .22
$r^2 = .05$
F Ratio = 1.08 (NS)
| Variable | Beta | F to delete | Zero Order Variance accounted for | Variance accounted for when entered last |
|------------------------|------|-------------|-----------------------------------|------------------------------------------|
| Ethnic Group | .17 | 3.48 | .02 | .02 |
| Short term Absence | -.18 | 2.49 | .02 | .02 |
| Civilian/Army | .10 | .98 | .00 | .01 |
| Gender | -.03 | .13 | .00 | .00 |
| Long Term Absence | .02 | .04 | .01 | .00 |
| Number of Schools | -.01 | .02 | .00 | .00 |
APPENDIX E
Table F
Multiple Regression Analyses - Neuroticism
Criterion - Neurotic Score
Multiple Correlation Coefficient (R) = .25
\[ r^2 = .06 \]
F Ratio = 1.46 (NS)
| Variable | Beta | F to delete | Zero Order Variance accounted for | Variance accounted for when entered last |
|-------------------|--------|-------------|----------------------------------|------------------------------------------|
| Gender | 1.62 | 3.28 | .03 | .02 |
| Ethnic Group | -1.31 | 1.65 | .02 | .01 |
| Number of Schools | .27 | 1.22 | .02 | .01 |
| Civilian/Army | -.93 | .83 | .00 | .01 |
| Long Term Absence | .08 | .85 | .01 | .01 |
| Short Term Absence| -.03 | .03 | .00 | .00 |
JUNIOR EYSENCK PERSONALITY INVENTORY
by Sybil B. G. Eysenck
NAME ..................................................................
AGE.................................................. SEX......................
E= [ ] N= [ ] L= [ ]
Instructions
Here are some questions about the way you behave, feel and act. After each question is a space for answering "YES" or "NO".
Try to decide whether "YES" or "NO" is your usual way of acting or feeling. Put a ruler or a sheet of paper under each question and then put a cross in the circle under the column headed "YES" or "NO". Work quickly, and don't spend too much time over any question. Be sure not to leave out any questions.
REMEMBER TO ANSWER EACH QUESTION
1. Do you like plenty of excitement going on around you? ........................................... ○ ○
2. Do you often need kind friends to cheer you up? .................................................. ○ ○
3. Do you nearly always have a quick answer when people talk to you? .................. ○ ○
4. Do you sometimes get cross? .............................................................................. ○ ○
5. Are you moody? .................................................................................................. ○ ○
6. Would you rather be alone instead of meeting other children? .......................... ○ ○
7. Do ideas run through your head so that you cannot sleep? ............................... ○ ○
8. Do you always do as you are told at once? ......................................................... ○ ○
9. Do you like practical jokes? ............................................................................... ○ ○
10. Do you ever feel "just miserable" for no good reason? .................................... ○ ○
11. Are you rather lively? ......................................................................................... ○ ○
12. Have you ever broken any rules at school? ....................................................... ○ ○
13. Do lots of things annoy you? ............................................................................. ○ ○
14. Do you like doing things where you have to act quickly? ............................... ○ ○
15. Do you worry about awful things that might happen? ..................................... ○ ○
16. Can you always keep every secret? .................................................................. ○ ○
17. Can you get a party going? .............................................................................. ○ ○
18. Do you get thumping in your heart? ................................................................ ○ ○
19. When you make new friends do you usually make the first move? ............... ○ ○
20. Have you ever told a lie? .................................................................................. ○ ○
21. Are you easily hurt when people find fault with you or the work you do? .... ○ ○
22. Do you like telling jokes or funny stories to your friends? ............................. ○ ○
23. Do you often feel tired for no good reason? ..................................................... ○ ○
24. Do you always finish your homework before you play? .................................. ○ ○
25. Are you usually happy and cheerful? ............................................................... ○ ○
26. Are you touchy about some things? ................................................................ ○ ○
27. Do you like mixing with other children? .......................................................... ○ ○
28. Do you say your prayers every night? ............................................................... ○ ○
29. Do you have "dizzy turns"? ............................................................................. ○ ○
| | |
|---|---|
| 30. Do you like playing pranks on others? | ○ | ○ |
| 31. Do you often feel fed-up? | ○ | ○ |
| 32. Do you sometimes boast a little? | ○ | ○ |
| 33. Are you mostly quiet when you are with others? | ○ | ○ |
| 34. Do you sometimes get so restless that you cannot sit in a chair long? | ○ | ○ |
| 35. Do you often make up your mind to do things suddenly? | ○ | ○ |
| 36. Are you always quiet in class, even when the teacher is out of the room? | ○ | ○ |
| 37. Do you have many frightening dreams? | ○ | ○ |
| 38. Can you usually let yourself go and enjoy yourself at a gay party? | ○ | ○ |
| 39. Are your feelings rather easily hurt? | ○ | ○ |
| 40. Have you ever said anything bad or nasty about anyone? | ○ | ○ |
| 41. Would you call yourself happy-go-lucky? | ○ | ○ |
| 42. Do you worry for a long while if you feel you have made a fool of yourself? | ○ | ○ |
| 43. Do you often like a rough and tumble game? | ○ | ○ |
| 44. Do you always eat everything you are given at meals? | ○ | ○ |
| 45. Do you find it very hard to take no for an answer? | ○ | ○ |
| 46. Do you like going out a lot? | ○ | ○ |
| 47. Do you sometimes feel life is just not worth living? | ○ | ○ |
| 48. Have you ever been cheeky to your parents? | ○ | ○ |
| 49. Do other people think of you as being very lively? | ○ | ○ |
| 50. Does your mind often wander off when you are doing a job? | ○ | ○ |
| 51. Would you rather sit and watch than play at parties? | ○ | ○ |
| 52. Do you find it hard to get to sleep at nights because you are worrying about things? | ○ | ○ |
| 53. Do you usually feel fairly sure you can do the things you have to? | ○ | ○ |
| 54. Do you often feel lonely? | ○ | ○ |
| 55. Are you shy of speaking first when you meet new people? | ○ | ○ |
| 56. Do you often make up your mind when it is too late? | ○ | ○ |
| 57. When children shout at you, do you shout back? | ○ | ○ |
| 58. Do you sometimes feel specially cheerful and at other times sad without any good reason? | ○ | ○ |
| 59. Do you find it hard to really enjoy yourself at a lively party? | ○ | ○ |
| 60. Do you often get into trouble because you do things without thinking first? | ○ | ○ |
PLEASE CHECK TO SEE THAT YOU HAVE ANSWERED ALL THE QUESTIONS
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After rebelling against UMWA, Warrior Met coal miners face need to expand their strike
J. L'Heureau 12 April 2021
Coal miners at Warrior Met Coal in Brookwood, Alabama are entering their thirteenth day on strike today after having overwhelmingly rejected the tentative agreement reached between the company and the United Mine Workers of America (UMWA) negotiating team. In response, the union is stepping up its efforts to isolate, wear down and betray the courageous struggle being waged by 1,100 striking miners to restore pay cuts, abolish the company's vindictive attendance system and improve their working conditions.
In addition, the press release says the UMWA is establishing a $50,000 "relief fund for workers and families," paying "$600,000 in the first wave of biweekly strike benefits to dues-paying members who have participated in strike activity" and purchasing "health care insurance for striking members and families."
The UMWA published a press release on their website Monday claiming the union will be holding "unity rallies" in the Brookwood area to mobilize "support" for the striking miners. These rallies are aimed at building "solidarity," the statement says, among "local and national allies."
The decision to hold "unity" rallies came after the UMWA International Executive Board held a "special meeting" to discuss how it would mobilize its "entire resources" to "support" the striking workers. In other words, after rank-and-file Warrior Met miners chased President Cecil E. Roberts back to the UMWA's Washington, D.C. headquarters, burned his sellout contract and voted it down by 1,006-45 votes, the International Executive Board held an emergency meeting to try to figure out how to put out the fire.
The worst mistake miners could make is to believe that their repudiation of the contract will force the
UMWA to come back with a better deal. The union hopes its upcoming rallies will be the kiss of death to the strike. The rallies will not be aimed at extending the strike to broader sections of the working class and defeating the company's government-backed strikebreaking operation.
Roberts and Secretary Treasurer Levi Allen have already resumed their behind-the-scenes negotiations with company executives. Their plan is to come up with a slightly modified version of the deal which the miners overwhelmingly defeated in the hopes that the UMWA could sell it to rank and file this time. Meanwhile, the union will try to starve miners and their families into submission with poverty-level strike benefits.
On the contrary, the "local and national allies" will be union bureaucrats and Democratic Party politicians, who will swear their support for the striking miners while they do everything they can to isolate and defeat the strike. These could include officials from the United Steelworkers, who have overseen tens of thousands of layoffs at the US Steel's Fairfield Works and other mills; and representatives from the failed campaign by the Retail, Wholesale, and Department Store Union (RWDSU) to unionize the Bessemer Amazon warehouse. Although Amazon workers want to fight the deplorable conditions, the unions, which have spent decades colluding with big business, were unable to generate any support from Amazon workers in Bessemer.
The amount of "relief" being given to miners and their families, who are taking a stand for all workers, is an insulting pittance. According to the latest Office of Labor-Management Standards (OLMS) filings (fiscal year 2020), the UMWA sits atop $164 million in total assets. Last year, it paid out $0 in strike benefits. At the
Powered by TCPDF (www.tcpdf.org)
same time, it had cash disbursements of $45 million, which included $210,693 in compensation to Roberts and $176,887 for Allen and millions more for "general overhead," "representational activities," "political activities and lobbying" and "contributions, gifts and grants."
Last week, miners passed their judgment on the UMWA when it tried to ram through a five-year agreement that included a measly $1.50 raise after the union pushed through a $6-an-hour wage cut in 2016. Workers took the agreement and tossed it into fire barrels.
Another warning must be made: The call for "unity" will be used to intimidate miners, who will not go along with another sellout. The UMWA bureaucracy has a long history of organizing thuggish attacks against its opponents, including the 1998 beating of dissident local officials and rank-and-file miners protesting the union's abandonment of the eight-hour day during a Mitchell Day celebration in western Pennsylvania. Afterwards, Cecil Roberts justified the assault, telling the Pittsburgh Post Gazette, "This is not the way we want to resolve disputes, but you can't curse the union and its leadership and expect that no one will take exception to that."
By bringing a contract that was written by Warrior Coal CEO Walter Scheller and his attorneys, the union has ceded any authority to conduct negotiations and the strike. Rank-and-file miners should take the conduct of the struggle into their own hands by forming a rank-andfile negotiating and strike committee. This committee should reach out to rank-and-file steelworkers, Amazon workers, educators, Mercedes Benz autoworkers and others to prepare common action against Warrior Coal's strikebreaking operations and to overturn all the concessions granted to the company by the UMWA.
* Restore fully all wage and benefit concessions and include a large pay increase to make up for what has been sacrificed.
A rank-and-file committee must fight for what miners and their families need, not what the wealthy executives and UMWA bureaucrats say is affordable. This should include:
* End all pay tiers. Equal pay for equal work.
* Abolish the disciplinary system. Rehire with back pay all workers who were unjustly terminated.
* End forced overtime and grueling work schedules. Hire additional miners to ease the workload and give workers time off with their families.
* Oversee health and safety conditions by the miners. Enforce appropriate social distancing and daily COVID-19 testing. Uphold the right of workers to refuse to work under unsafe conditions.
Workers everywhere are fighting the same global corporations and are increasingly facing identical conditions under a rampaging pandemic. The fight against the sacrifice of workers' lives to the drive for profit must be combined with the building of an international political movement of the working class for socialism and the reorganization of society so that the wealth created by the collective labor of workers goes to them not the wealthy few.
Warrior Met coal miners must unite their struggles with the strikes being waged by thousands of ATI steelworkers in Pennsylvania and other states, Massachusetts nurses and New York City graduate student workers who have launched strikes to demand living wages and decent working conditions.
To contact the WSWS and the Socialist Equality Party visit:
wsws.org/contact
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Custom Pultrusions
Liberty Pultrusions can manufacture a variety of custom and standard pultrusions. We have the ability to custom design very large or small pultruded parts.
Capabilities:
Liberty Pultrusions can produce large or small, complex or simple, thin or thick custom geometric Pultrusion shapes. We have been manufacturing custom pultrusions since our founding by Westinghouse Electric Corporation in 1964.
Profile Design:
Liberty Pultrusion’s engineering staff can assist in the design of virtually any continuous cross sectional pultrusion profile. We can take your idea from concept-to-final product reality.
Resin Systems:
We can design the resin system to meet a variety of customer requirements. Some specific customer requirements may include, elevated temperatures, corrosive environments, UL rated non-conductive systems, high flexural modulus, stiffness and, of course, low cost. Our current resin systems include polyester, vinyl ester and polyurethane of urethane products.
Fiberglass Reinforcements:
Our engineers have a wide range of fiberglass reinforcements available to solve demanding customer requirements. We offer single-end and premium multi-end rovings, continuous filament mats, stitched mats, woven fabric and other specialty glass reinforcements.
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Descargar libros gratis The Rise of Ripple The Starter Guide to Understanding Ripple Cryptocurrency and What You Need to Know - Robert Pemberton DBSBOOK
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There is an avalanche of misinformation out there on the internet, generated by hype and hysteria over the massive rise in value of crypto currencies. This book cuts through the hype and guides you step by step through all the concepts you need to know in order to make sound decisions about things such as: Should I invest in cryptocurrency. What is Ripple? Ripple vs Bitcoin. What is blockchain? What is mining? Should I mine crypto coins or just buy crypto coins as an investment? If I mine, should I buy my own mining rig or should I use a cloud based miner? These are just a few of the questions that this book answers.
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This book will show you how Ripple is different from other cryptocoins out there and how it is poised to become the world's number one cryptocurrency.
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Off to the best start
A guide to help you start breastfeeding
If you are concerned about any of the points covered in this leaflet or would like support and help with breastfeeding, speak to your midwife or health visitor.
THE BABY FRIENDLY INITIATIVE
UNICEF UNITED KINGDOM
start 4 life
A good start for a healthier life
Breastfeeding is good news for baby and you
- Breast milk is tailor-made for your baby. It boosts your baby’s ability to fight illness and infection - babies who are not breastfed are more likely to get diarrhoea and chest infections.
- Exclusive breastfeeding is recommended for around the first 6 months and alongside solid foods thereafter.
- Breastfeeding also lowers a mother’s risk of breast cancer and may reduce the risk of ovarian cancer too.
- Keeping your baby close will help you to respond to his needs for food, love and comfort.
How to breastfeed
Breastfeeding is something you and your baby learn together, and, like anything new, you need to get the hang of it. Here’s how:
**Step 1.** Hold your baby’s whole body close with his nose level with your nipple. Make sure his head and body are in a line and facing you, so he is not twisting his head or body awkwardly. Support your baby along his back and shoulders rather than his head - so he can move his head freely to attach to your breast.
**Step 2.** Let your baby’s head tip back a little so that his top lip can brush against your nipple. This should help your baby to make a wide open mouth.
**Step 3.** When your baby’s mouth opens wide, his chin should be able to touch your breast first, with his head tipped back so that his tongue can reach as much breast as possible.
**Step 4.** With his chin touching your breast and his nose clear, his mouth should be wide open. You will see much more of the darker skin of your nipple above your baby’s top lip than below his bottom lip. Your baby’s cheeks will look full and rounded as they feed.
For information on breastfeeding positions visit: www.nhs.uk/start4life/baby/breastfeeding/breastfeeding-positions
Signs that your baby is feeding well
- Your baby has a large mouthful of breast.
- It doesn’t hurt you when your baby feeds (although the first few sucks may feel strong).
- Your baby rhythmically takes long sucks and swallows.
- Your baby finishes the feed, appears content and satisfied after feeds and comes off the breast on his own. Your breasts and nipples should not be sore.
How do I know my baby is getting enough milk?
- Lots of mums wonder if their baby’s feeding well and getting enough - especially in the first few days, but it’s very rare that mums don’t make enough breast milk for their babies. It may just take a bit of time before you feel confident that you are providing enough milk.
- Generally, your baby will let you know if he’s not getting what he wants; wet and dirty nappies are also a good indication, as is hearing your baby swallow.
- Your baby should be back to his birth weight by two weeks and then continue to gain weight.
Your baby’s nappies
Day 1 → Days 2-3 → Day 4
- In the first 48 hours, your baby is likely to have only 2 or 3 wet nappies. Wet nappies should then start to become more frequent, with at least 6 every 24 hours from day 5 onwards.
- At the beginning, your baby will pass a black tar-like poo (called meconium).
- By day 3, this should be changing to a lighter, loose, greenish poo.
- From day 4 and for the first 4 – 6 weeks your baby should pass at least 2 yellow poos a day.
- If your baby has not poed in the last 24-48 hours, speak to your midwife or health visitor as this may mean he isn’t getting enough milk.
Vitamin D
- Breastfed babies up to 12 months old should be given a daily supplement of 8.5 to 10mcg of vitamin D (340-400 IU/d).
- It is recommended that all breastfeeding women take a daily supplement of 10mcg of Vitamin D (400 IU/d).
Support services
The following can provide support and can help you find a peer supporter:
National Breastfeeding Helpline
📞 0300 100 0212*
available 9.30am to 9.30pm 365 days a year
www.nationalbreastfeedinghelpline.org.uk
National Childbirth Trust Helpline
📞 0300 330 0771*
www.nct.org.uk
La Leche League
📞 0345 120 2918*
www.laleche.org.uk
Useful resources
Building a happy baby leaflet
unicef.uk/happybaby
Caring for your baby at night leaflet
unicef.uk/caringatnight
Breastfeeding and relationships in the early days video
unicef.uk/breastfeedingearlydays
Hand expression video
unicef.uk/handexpression
Join our Start4Life baby club
Sign up for weekly emails for trusted NHS advice, videos and tips on your pregnancy, birth and parenthood:
www.nhs.uk/start4life/signups
24/7 help with breastfeeding
Talk to the Breastfeeding Friend from Start4Life on
- Google Assistant
- Amazon Alexa
- Facebook Messenger
for more NHS approved advice and tips.
For lots more helpful information visit: www.nhs.uk/start4life
*Calls to 03 numbers cost no more than a national rate call to an 01 or 02 number and must count towards any inclusive minutes in the same way as 01 and 02 calls.
© Crown Copyright 2018.
S4L188 500k Nov 2018.
Produced by APS for Public Health England.
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Public Utility District No. 1 of Chelan County – Facilities Department
PO Box 1231 Wenatchee WA 98807-1231
Application for use of Auditorium
Applicant (please print)
______Email:
________
Organization (if applicable)
Non-Profit Yes No
Mailing Address
City
State
Zip_________
Person in Charge: __________________Phone : ____________(h) _____________(w) ___________ (cell)
Facility Request:
WENATCHEE AUDITORIUM
LEAVENWORTH AUDITORIUM
CHELAN AUDITORIUM
Capacity - 88 (each side) - 176 (whole room)
Capacity - 50
Capacity - 35
Dates: __________________________________________ Hour: From: __________ to: ________
Dates: __________________________________________ Hour: From: __________ to: ________
Days of Week: M T W TH F S SU Circle Day(s) Not available until after 5:00 p.m. Monday thru Friday.
Weekends: Available any time of day or night
Special requirements or additional information
_____________________
Is use of District's special equipment desired:
Yes No
If "Yes", check all that apply
PodiumScreenCoffee Pot
Describe Briefly/Event Name
__________________
Web Site address for Special Event information:
A. Primary use is for
ADULT
CHILD
B. Number of people expected
AGREEMENT FOR USE IS CONTAINED ON THE ATTACHED FORM. Organization shall indemnify and hold harmless, defend and pay on behalf of the District and its officers, managers, directors, employees, servants, and agents from and against all liability, penalties, costs, losses, damage, expenses, causes of action, claims or judgments (including attorney's fees) resulting from injury to or death sustained to person including observers or organization's participants, employees or representatives or damage to property of any kind which injury, death, or damage arises out of or is in any way connected with the activity or event herein described regardless of how the injury or damage was caused or suffered. The organization's hold harmless agreement shall apply to any act or mission, willful misconduct or negligence, whether passive or active, on the part of the organization or its participants, agents or employees; except, that this agreement shall not be applicable to Injury, death, or damage to property or persons arising from the sole negligence or the sole willful misconduct of the District.
Applicant's Signature ______________________________________________________Date:
For Facilities Department Use Only
Approved Not Approved Approved with conditions
Evidence of Insurance Required
Yes No
Signature:______________________________________________________Date: ______________________________________
Notes: ____________________________________________________________________________________________________
Auditorium Use Agreement
The Applicant Representative (hereinafter referred to as "applicant"), on behalf of Applicant Organization, hereby makes application to Public Utility District No. 1 of Chelan County for use of District facilities described on this document and certifies that the information given in the Application is correct. The Applicant further states that he/she has the authority to submit this Application and acknowledges that he/she has received a copy of the Rules and Regulations and understands the Controversial, Religious and Political provision of said rules and regulations. The Applicant agrees to exercise the utmost care in the use of District facilities and to save the District, Board of Commissioners, District employees and volunteers harmless from all liability resulting from the use of said facilities unless caused by the Districts sole negligence. The Applicant further agrees to reimburse the District for any damage arising from the Applicant's use of said facilities.
Applicant understands that he/she is responsible for and aware of the following:
1. Leave the facility in the same or better condition as when they arrived. This includes the restrooms. The Applicant is responsible for cleaning up the facility after their use. This cleaning shall include removing their excess materials, equipment, furnishings and rubbish during and after the use of the facilities. The cost of any additional cleaning or repairs that require the District personnel will be charged to the Applicant Organization. All cleaning must be done immediately following the event.
2. Repair and/or replacement of any District equipment lost, damaged or stolen, or facility damage as the direct of the result of the event.
3. Monitor and Control all participants and spectators in accordance with established rules and regulations, special use conditions, City, County, and State laws.
4. Provide adequate adult supervision. This shall include proper police, fire, and emergency protection where necessary.
5. At no time shall any person connected with the event be allowed to consume alcoholic beverages, controlled substances or legend drugs while in District facilities.
6. The District has the absolute right of cancellation without liability.
7. Use of District facilities is cancelled when facilities are closed due to an emergency,
8. The facility reservation applies to the appropriate area only (including adjacent restroom facilities).
9. Approved Applications for use of District auditoriums shall be revocable at the discretion of the District and shall not be considered a lease.
10. Limited parking is available at the facilities. Please inform participants that adequate parking must be available at all times for District customers.
These guidelines are neither all inclusive nor exhaustive, but rather exemplary of the general conditions under which Public Utility District No. 1 of Chelan County facilities may be used and the responsibilities expected of users. District rules and policies may be added to or otherwise adjusted as circumstances and the judgment of District staff dictate.
PRINT NAME
ORGANIZATION
SIGNATURE
DATE
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WO
Alan Troy Nimer,
Plaintiff,
IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF ARIZONA
)
No. CV-12-1435-PHX-ROS (LOA)
)
)
vs.
Charles L. Ryan, et al.,
Defendants.
)
)
)
)
)
)
)
)
This matter is before the Court on Plaintiff's Motion to Obtain Defendant's Address and Plaintiff's Motion to Obtain First Amended Complaint. (Docs. 33, 34) Defendants have filed a Response to each motion. (Docs. 36, 37) Plaintiff has not filed a reply in support of either motion and the time to do so has expired. See Local Rules of Civil Procedure ("LRCiv") 7.2(d) (providing that a reply, if filed, must be submitted within seven days after service of the response).
In the first motion, Plaintiff seeks the Court's assistance with an alternative service address for Defendant "Nurse Gabowski." A U.S. Marshal's Service Process Receipt and Return was filed on August 9, 2013, indicating Gabowski is no longer employed by the Arizona Department of Corrections ("ADOC") and an alternative service address is needed. (Doc. 25) Plaintiff then waited more than two months, until October 15, 2013, to file the instant motion.
In their response, Defendants explain that ADOC records show a Nurse "Grabowski," not "Gabowski," was, but no longer is, employed by ADOC. Defendants further explain, however, that Nurse Grabowski was male. Plaintiff's First Amended Complaint indicates the
Dockets.Justia.com
ORDER AND ORDER TO SHOW CAUSE
1
nurse he alleges claims against is female. (See Doc. 23 at 9) (suing "Nurse Gabowski in her individual and official capacity.") (emphasis added) By failing to file a reply, Plaintiff does not dispute that he intended to sue a female nurse. Because former Nurse "Grabowski" is male, the Court sees no reason to require Defendants to provide a last known alternative address for him. Plaintiff's motion to obtain a service address will, therefore, be denied. Moreover, because Plaintiff has failed to comply with the service of process time limits set forth in the screening order, doc. 24 at 16, the Court will order him to show cause why the defendant he identifies as Nurse Gabowski should not be dismissed from this action.
Regarding the second motion, Plaintiff asks the Court to send him a copy of the First Amended Complaint. Plaintiff contends he had one copy but it has disappeared from his cell. Defendants take no position on this request.
Although Plaintiff is proceeding in forma pauperis, he is not exempt from paying most court costs and litigation expenses. The in forma pauperis statute, 28 U.S.C. § 1915, permits the waiver of prepayment of fees and costs for in forma pauperis litigants. See 28 U.S.C. § 1915(a). Aside from the specific costs waived pursuant to § 1915(a), "[t]he general rule is that a court may not authorize the commitment of federal funds to underwrite the necessary expenditures of an indigent civil litigant's action." See Moss v. ITT Continental Baking Co., 83 F.R.D. 624, 625 (E.D. Va. 1979) (citations and internal quotation marks omitted); see also Alexander v. Plainer, 390 F.Appx 724, 726 (9th Cir. 2010) ("The district court rightly exercised its discretion by denying [Plaintiff's] request to subpoena a particular correctional officer because [Plaintiff] did not pay the required witness and mileage fees[.]"); Tedder v. Odel, 890 F.2d 210, 211-12 (9th Cir. 1989) (same); Manning v. Masters, 2012 WL 1431359, at *1 (D. Nev. April 25, 2012) ("Although section 1915 does allow commencement of a suit without prepayment of fees and costs upon a showing of indigency, it does not authorize federal courts to finance or subsidize a civil action or appeal by paying expert fees or other costs."). The Fifth Circuit has noted that the Supreme Court has held that "expenditure of public funds [on behalf of an indigent litigant] is proper only when authorized by Congress." Pedraza v. Jones, 71 F.3d 194, 196 (5th Cir. 1995) (quoting United States v. MacCollom, 426 U.S. 317, 321 (1976)). Thus,
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absent a federal statute authorizing the payment of a prisoner's copying expenses, Plaintiff is responsible for the cost of any copies he requests. This motion will be denied.
Accordingly,
IT IS ORDERED
that
Plaintiff's Motion to Obtain Defendant's Address, doc. 33, and Plaintiff's Motion to Obtain First Amended Complaint, doc.34, are
DENIED.
IT IS FURTHER ORDERED
that on or before
Friday, December 13, 2013,
Plaintiff shall show cause in writing why Defendant Gabowski should not be dismissed without prejudice from this action for failure to serve pursuant to Fed.R.Civ.P. 4(m) and LRCiv.
16.2(b)(2)(B)(i).
DATED this 4 th day of December, 2013.
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How to Verify Your Email Address in the IPFCF System
The Injured Patients & Families Compensation Fund (IPFCF or the "Fund") uses email as the primary source of communication with each Fund participant. To ensure that each Fund participant can maintain their IPFCF compliance they should always have a personal nonwork email address on file with the IPFCF.
It is important to use a personal nonwork email address because it prevents missed notifications for the licensed Fund participant regardless of work location or employer.
Having a personal nonwork email address on record with the IPFCF does not prevent an employer or group administrator from being able to gain access to the Fund participants IPFCF correspondence and invoices if that is desired.
To verify what email address is currently on record with the IPFCF the Fund participant should log onto their IPFCF Provider Portal account here: https://ipfcfsecure.oci.wi.gov/
Once the provider has logged onto their account they will be taken to the Portal Home page. From the Home page you will select the My Account button on the left side of the screen.
On the My Account screen you can view the email address that is on file with the IPFCF as well as your current account status.
If the email address on file is not current the provider may update it from the Settings or by contacting the IPFCF staff via phone (608) 707-5481 or email [email protected] .
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Victorious International British School
Director: Victoria Gomez-Middleton Partida Cap-Negret, Costa Bella, Locales 13 y 14, Altea, Alicante 03590 Telephone: 634806696 Email: [email protected]
FIRE EVACUATION PROCEDURE
IN THE CASE OF DISCOVERING A FIRE IMMEDIATELY NOTIFY A MEMBER OF STAFF
STAFF MUST
* Press manual call point to activate alarm.
* Evacuate premises to onsite assembly point using front door. (Street)
* If in the outdoor area, assemble outside the front door.
* If required to evacuate the site assemble outside front door and then assemble at beach front.
* School fire marshals (Victoria Gomez-Middleton) to sweep designated areas.
* Staff team to follow drill allocation procedures taking register and medication for children with health care plans.
* Allocated staff to check toilets and classroom to ensure all adults and children have left the building.
* Senior staff in office to take visitor sign in register
* Children to assemble quietly at assembly point for registration. Or evacuate to the off-site evacuation point if instructed by the fire marshals
* The fire marshals to alert the fire brigade, dialling 112 or 080
* Return only after fire brigade / fire marshal has advised that it is safe to re-enter.
* Records of Fire Drills will be kept in an incident folder in the office. Drills will take place at least once every term.
Emergency Services Numbers
* All services: 112
* Ambulance: 061
* Fire brigade: 080
* National police: 091
* Local police: 092
This policy was adopted by On Date to be reviewed Signed on behalf of the provider Name of signatory Role of signatory
Victorious School
1 st September 2022
1 st September 2023
E Signature
Victoria Gomez-Middleton
Director
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Published on Reviews in History (https://reviews.history.ac.uk)
Cuba in Revolution: a History since the Fifties
855
Review Number:
Publish date: Sunday, 31 January, 2010
Author: Antoni Kapcia
ISBN: 9781861894021
Date of Publication: 2008
Price: £15.95
Pages: 208pp.
Publisher: Reaktion Books
Place of Publication: London
Reviewer: Steve Cushion
Given the division of opinion over the nature of Cuban Revolution, it has always been hard to find a general work on the subject that does not merely tell half the story. However, Toni Kapcia has now provided us with a book which, while comprehensible to a general audience or a useful introduction for students, will nevertheless provide insights for the more specialist reader. Furthermore, the author does not select the facts that fit a particular point of view, so that wherever you stand, you should learn some unpalatable truths. The approach takes a critical view of the conventional periodisation, dividing the story into a series of cycles rather than discrete periods. These cycles of 'debate', 'decision', and 'move on' are centred around revolution's ability to survive five major crises, those of 1961, 1962–3, 1970, 1980–5 and 1990–4.
The first crisis centres on relations with the United States as, faced with a surprisingly moderate process of agrarian reform which nevertheless threatened US commercial interests, the CIA, flush from its success in overthrowing the Arbenz regime in Guatemala, started to train a force of exiles with the aim of overthrowing the new regime. The crisis deepened as the refusal of US companies to process Russian oil led to nationalisation and a tit-for tat escalation which culminated in the invasion at Playa Giron. The book quite clearly sees the Cuban people as active participants in the revolutionary process and describes how the majority became radicalised by a series of mobilisations, starting with the preparations to repel the invasion, and how this radicalisation in turn moved the leaders of the revolution to the left. This provides us with a view of the relationship between Castro and the communists that is not seen through the optic of the Cold War, but which has its own dynamic.
The Movimiento Revolucionario de 26 de Julio (M-26-7), led by Fidel Castro, which had organised the insurrection that brought down the Batista dictatorship, was a very broad-based movement ranging from Liberals to Trotskyists, while the other major organised political force at the triumph of the Revolution was the communist Partido Socialista Popular (PSP). Castro's increasingly close relationship with the PSP is often painted as one of the drivers of the Revolution, but the book makes clear that the situation was much more complex than this, as the various different actors changed their positions over time and in the light of circumstances. Thus, the first united political organisation, unveiled in March 1962, had a PSP representation on its leading committee that far outweighed their political importance, but which suffered an almost immediate purge when the new party's organiser, Anibal Escalante, who came from the communist side of the marriage, was exiled on a diplomatic mission to Eastern Europe, with his downfall supported by some of his ex-comrades.
As the secret deal between the USSR and the USA after the missile crisis ended this particular cycle, the great debate on the economy was about to start and the description of the way in which such debates are carried out is as useful as the details of the discussions and conclusions themselves. The PSP's 'stages' theory is pitted against Che Guevara's 'great leap forward' based on moral incentives and the latter won out in the end. As a result, the new communist party (PCC) would be dominated by militants from the old M-267, a domination that would last until the failure of the attempt to achieve a ten million ton sugar harvest in 1970.
The real failure of the ten million ton harvest was not in failing to reach the target (after all, it was still one of the biggest harvests ever) but rather in the fact that it cost more to produce than it was worth. The subsequent debate led to the end of Guevarist voluntarism and a rapprochement with the USSR as Cuba joined Comecon and tried to diversify the economy using Soviet consumer goods to partly replace moral incentives. However, the conscious prioritising, over the preceding period, of social revolution at the expense of economic efficiency had not only created a firm base of loyalty but, more importantly in economic terms, this prioritisation of healthcare and education paid off as the economy improved in the 1970s and could rely on a healthier and better educated workforce. This economic change was reflected in political life as the first congress of the Cuban Communist Party (PCC) in 1975 adopted a bureaucratic, hierarchical structure and former PSP members were rehabilitated. However, this rapprochement with the USSR would not last long as the election of an aggressively hostile Reagan in the USA, matched by Gorbachov's perceived retreat, led to a fourth debate and 'rectification' in the mid 1980s.
The most important debate, however, was the final one with which the book deals, the fall of the Soviet Union and the 'Special Period'. On the one hand, there was the fear of the alternative as the consequences of the collapse of welfare and employment in Eastern Europe provided a dreadful lesson, while on the other the tradition of mass mobilisation was reinvented, but this time through more local organisation and cultural events at barrio level. In many ways, the most remarkable story in this book is this chapter on the special period, with its description of the survival of the system and the patience, tolerance and basic loyalty of the overwhelming majority of the population.
The fact that Cuba was not the 'domino' that many pundits predicted implies deeper ideological roots. The book traces revolutionary ideology back to the ideas of social liberation and equality that were inherent in the notion of 'Cuba Libre' of the 1860s. It shows how Marxism entered the equation in the 1920s through growing anti-imperialism and explains that ideology as a potent set of beliefs and values expressed as 'activism', 'struggle' and 'sacrifice'. We see how this was woven together in Castro's 'History will absolve me', which itself forms part of a revolutionary nationalist tradition that has nothing in common with the sterile passivity of Soviet Stalinism.
In ideological terms, however, the communists had brought ideas of 'class' into Cuban nationalism and gave intellectual backing to the revolutionary leadership's support for the poor against the rich, which led those who represented middle and upper class interests, including many former members of the M-26-7, into opposition and exile. As time progressed, the regime turned increasingly to the workers and peasantry, a move that was expressed in ideologically by seeing these two classes as representing 'the People' and identifying them as the source of patriotic feeling.
The Marxism of the PSP was of the orthodox variety which argued that society could not move from one stage to another until the internal contradictions of each stage had been reached. Therefore, as Cuba was 'underdeveloped', it had to wait until capitalism was fully developed before moving to the next stage of socialism. This council of caution and patience sat ill with the M-26-7 grass roots who had been radicalised by the struggle and Che Guevarra's most significant contribution was, perhaps, his role in giving theoretical underpinning to the young revolutionaries' impatience.
If ideology is important, it can best be investigated by its manifestation in cultural matters. In 1961, as part of the first cycle of crisis and debate, Castro gave the speech known as 'Words to Intellectuals', which contains the significant phrase 'Inside the Revolution, everything; outside, nothing'. This manifested itself in increasing control of artistic life, while growing shortages led to a hierarchy of cultural priorities. The 1971–6 grey years, the notorious quinquenio gris, was characterised by an increasing Stalinisation of culture, although even then, the film institute ICAIC was able to preserve a space where cultural innovation such as "Nueva Trova" could shelter. However, while the concept of everything being permissible within the Revolution might look hypocritical during the grey years of the 1970s, the margins of what is defined as the Revolution have varied enormously from surprising leeway to irrational intolerance; periods normally delimited by security considerations. The importance of culture within the nationalist paradigm is expressed by the concept that every Cuban has the right to acquire cultural skills and, following the success of the literacy campaign, this resulted in a programme which used young 'instructores de arte' to carry artistic training to schools, factories and the countryside. Such 'vulgar popularisation' alienated and alarmed many established artists as much as 'Stalinisation' and, seeing their once privileged position being devalued, drove many to leave to an exile where they felt more valued.
Emigration has siphoned off most of the political opposition as well as many intellectuals, but those who remain have nevertheless had a relatively active forum within which to debate the way the country is run, albeit within fairly strict parameters. One of the themes of the book is a series of 'debates' and it goes to some length to outline how the system works and how decisions are taken, both explaining the form and interpreting the content. The picture that emerges here tells us of the space in the middle where political activity takes place and how different interest groups can use the system to defend their interests.
The behaviour of the political class of the pre-revolutionary era, who took part in spurious elections in order to fight over the crumbs from the dictatorship's table, led the rebels to believe that the whole system had been responsible for Batista, which in turn led to mass mobilisation replacing representative democracy as the basis of political life. However, this mass mobilisation went in cycles that reflected the cycles in politics and society. 'Voluntarismo' characterised the 1960's but crashed in 1970 with the failure of the 10 million ton harvest. This early voluntarist approach was given form in the Committees for the Defence of the Revolution (CDR) and the National Revolutionary Militia (MNR). The CDRs started as a security network to watch and round up opponents of the regime in the event of invasion, a role they carried out with slightly excessive zeal at the time of the Bay of Pigs. They were an undoubted success and became the basic unit of political involvement in the early days. Even today, their role as a neighbourhood watch is responsible in no small measure for the low crime rate in the country. However, as the revolution became more institutionalised in the 1970s, the Party started to overtake the CDRs in importance.
The political influence of the CDRs declined formally with the setting up of the 'Organs of People's Power' in 1976 and the book provides a useful explanation of this decision making structure, based on 'progressively indirect election', in which it is not formally necessary for candidates to be Party members, but, nevertheless, Party membership became increasingly likely as the Party became more powerful. The Organs of People's Power replaced the political activist role of the CDR, but were more distant and less responsive, although the CDRs retained a social role in health, education, crime prevention and general neighbourhood activity. There is an intertwining of the state and civil society to which neither Western nor ex-Eastern block notions apply. To those of us brought up on Montesque's ideas of the separation of powers, such a system is incomprehensible and inherently flawed, but the explanation given here gives us an understanding which enables us to consider the matter in context and might also lead us to question our own assumptions. Clearly another way is possible, but the survival of this different approach does rely upon the system's ability to reinvent itself at times of crisis.
The institutionalisation of the 1980s came in for a rude shock as the economy started to pull itself out of the special period and there was an outbreak of street protests in Central Havana in August 1994. Fidel Castro's response of directly addressing the demonstrators was largely successful in containing the anger and reminded the leadership of the importance of mass mobilisation, a lesson they put to good effect in the Elian Gonzalez affair, when the massive demonstration organised by the Federation of Cuban Women (FMC) did much to restore the regime's battered legitimacy and paved the way for the recent 'Battle for Ideas' starting in the year 2000. This campaign, largely unnoticed in the West, was a typical mixture of the ideological and the practical, ranging from the drive to combat dengue fever through to setting up emergency training schools to tackle skill shortages and reach out to disaffected youth, all linked with a massive poster campaign for the return of the Miami Five. Thus, when Fidel Castro's ill health provoked a transfer to his brother Raul, the long predicted collapse did not occur, yet again confounding the consensus in the Western media.
The book wisely does not make predictions for the future; for the history it recounts demonstrates that any such predictions are extremely unlikely to bear any relation to reality. Those who have already made up their minds about the nature of the Cuban Revolution should not waste their time or money on this book. However, if you are looking for a readable overview that offers a cogent analysis of the last 50 years of Cuban history, Kapcia's volume is to be recommended.
The author has not responded to this review.
Other reviews:
http://www.timeshighereducation.co.uk/story.asp [2]
times
Source URL: https://reviews.history.ac.uk/review/855
Links
[2] http://www.timeshighereducation.co.uk/story.asp?storyCode=404581§ioncode=26
[1] https://reviews.history.ac.uk/item/4470
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Back2Basics Muscle Up
Changes in fertiliser and industrial emissions worldwide are leading to sulphur shortages in soils, thus reducing a plants ability to make amino acids and dropping the quality of plant protein. In plants a sulphur deficiency leads to a reduction in methionine production and also lowers lysine content. Many crops, including those used for hay, grazing and whose products are used in horse feeds, have lower crude protein levels and poor quality amino-acid profiles.
Lysine, Methionine and Threonine are 3 essential amino acids (EAA's) which have been shown to be limiting to horses and are often deficient in horse feed. Unlike ruminants, horses are unable to produce certain EAA's in their gut and rely on their diet for them. Muscle, bone, tendons, ligaments, hormones, immunoglobulins and keratin are a few of the body structures and proteins which rely on the presence of EAA's for their production and maintenance. The addition of EAA's will allow a horse to use the protein it is fed more effectively and can to some extent compensate for low protein intakes.
Muscle Up contains lysine, methionine and threonine in ample doses to make up for shortfalls in dietary supply. The quantity fed will depend on the horse's age, breed and work levels. Hard working, actively growing and aged horses require more amino-acids and would benefit from 25 – 35g of Muscle Up daily while a horse at maintenance or doing very light work can be fed 15 – 20g daily to meet their requirements.
A brief rundown of the literature shows some interesting findings in plants and horses with regards to amino acids and their relationship to one another and supplementation shows positive responses in horses
- Mortenson et.al. Agricultural trends show sulphur deficiency lowers methionine content in many plants including grasses with a concomitant decrease in lysine.
- van Biljon in RSA fertilisers currently being used contain little or no sulphur and coupled with lower industrial sulphur dioxide emissions, sulphur inputs into soils have decreased. Soil samples from the main maize growing areas in RSA showed sulphur supplementation is necessary to prevent deficiency.
- Graham-Thiers & Kronfeld showed horses receiving supplementary lysine and threonine maintained muscle mass better than unsupplemented horses.
- Graham-Thiers et.al showed a low protein diet supplemented with lysine and threonine could sustain exercise in horses.
- Malesky et.al. showed horses supplemented with Lysine showed more efficient use of threonine, methionine and other non-essential amino-acids.
- Tucker indicates lysine is used for growth in foals and maintenance of connective tissue (bones, joints, tendons and ligaments etc.) in adult horses. Methionine is used in the maintenance of hair, coat and hoof structure while threonine is involved with muscle mass maintenance, adrenalin and hormone production.
- Kellon indicates lysine and threonine are the most likely EAA's to be deficient and limit the horse's ability to build muscle, while a methionine deficiency affects how muscles work.
Disclaimer – this supplement is formulated in accordance to NRC 2007 and other scientifically based guidelines for feeding horses. Muscle Up is used at owner's risk with no recourse to claim for any losses deemed to be caused by the product or failure thereof.
Contact Soul Equine (Wihan - 084 527 0633)
© S K Horne 2017
Soul Equine specialises in barefoot hoof care; Fascia, Trauma and Scar Release (Bodywork); Professional Saddle Fitting and is a supplier of Back 2 Basics’ Immunohoof and Muscle Up Supplement.
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Formwork Pressure of Self-Compacting Concrete
Parameters affecting Formwork pressure
Materials properties and mix design Fresh concrete properties Placement characteristics
Yaser Gamil
Building materials
DOCTORAL THESIS
Formwork Pressure of Self-Compacting Concrete
Yaser Gamil
Building Materials
Department of Civil, Environmental, and Natural Resources Engineering,
Luleå University of Technology
SE-97187, Luleå, Sweden
Front Page: The cover image shows how different parameters affect the maximum form pressure while casting with self-compacting concrete.
COPYRIGHT © YASER GAMIL
Printed by Luleå University of Technology, 2024
ISSN: 1402-1544
ISBN: 978-91-8048-626-2 (print)
ISBN: 978-91-8048-627-9 (electronic)
Luleå 2024
www.ltu.se
Academic Thesis
For the Degree of Doctor of Philosophy (PhD) in Building Materials, which by due permission of the Technical Faculty Board at Luleå University of Technology will be publicly defended on:
Friday, November 15th, 2024, 10:00 am
Room E231, Luleå University of Technology
Opponent Examiner:
Professor Emeritus. Tomasz Blaszczyński
Poznan University of Technology in Poland
Examining committee:
Associate Prof. Lisa Buris
Civil, Environmental, and Geodetic Engineering, Ohio State University
Associate Professor Riccardo Maddalena
School of Engineering, Cardiff University
Associate Professor Arezou Baba Ahmadi
Architecture and Civil Engineering, Chalmers University of Technology
Principal Supervisor:
Prof. Andrzej Cwirzen
Building Materials, Luleå University of Technology, Sweden
Co-Supervisor:
Dr. Jonny Nilimma
Building Materials, Luleå University of Technology, Sweden
Chairman:
Dr. Thanyarat Buasiri
Building Materials, Luleå University of Technology, Sweden
Acknowledgement
The work supporting this thesis was initiated on the 1st of April 2020 at the Building Materials Research Group, the Division of Structural and Fire Engineering, Department of Civil, Environmental, and Natural Resources Engineering, Lulea University of Technology, Sweden. The project is sponsored by the Swedish Construction Industry Development Fund (SBUF) and supported by NCC AB.
I want to take this opportunity to express my gratitude to all the project contributors and organizations that have supported the project to this stage. I particularly thank my main supervisor, Professor Andrzej Cwirzen, co-supervisor Dr. Jonny Nilimaa, and project leader, Professor Mats Emborg, for their open-handed and steadfast support, fatherly advice, and outstanding guidance throughout my study journey. Their guidance, coordination, and substantial support empowered me to reach this stage.
I also want to convey my gratitude to my colleagues at the university and the technicians in the laboratory for their generous assistance. Special gratitude to my colleagues Carina, Ankit, Thanyarat Buasiri, Vasiola, Klaudja, Ilda, and Magda who were there to help me during my research. Thanks to Vema Venturi AB and PERI for their technical support and for providing the pressure system.
Lastly, I want to thank my family, parents, wife, and two beautiful kids (Ammar and Leen) for their unconditional love and support and for being patient and accommodating during the study journey.
Summary
Self-compacting concrete (SCC) is commonly known for its high flowability and resistance to segregation. Using SCC in constructing large structural members where reinforcements are congested offers several benefits, including reduced project time and a better work environment due to the lack of vibration. However, the concern is the presumably higher pressure exerted on the formwork during casting.
This thesis presents the results of a study on the form pressure exerted by SCC, which included the literature review to evaluate existing theoretical design models, laboratory testing, and modelling. A laboratory setup was developed, including a 2-meter circular column instrumented with a wireless pressure system. Two types of SCC were tested: with and without ground granulated blast furnace slag (GGBFS). The pressure was recorded by novel pressure sensors attached to transmitters to send real-time data to the cloud. The system was equipped with a pressure membrane that was in direct contact with the concrete. Several material and environmental parameters were recorded before and during casting.
The collected data were used to assess the accuracy of the following models, including DIN1821 (2010), Khayat et al. (2009), Gardner et al. (2012), Teixeira et al. (2017), Beitzel (2010), Ovarlez and Roussel (2006), and Proske (2010). Most models were conservative, calculating higher pressures than recorded. In the next step, machine learning methods were developed to monitor and predict the pressure during casting continuously. These models showed significantly higher accuracy and flexibility than the existing prediction models.
Keywords: self-compacting concrete, form pressure, material parameters, mathematical modelling, maximum pressure, pressure reduction
# Table of Contents
Acknowledgement ........................................................................................................ I
Summary ....................................................................................................................... II
Table of Contents ......................................................................................................... III
List of Figures ............................................................................................................. V
List of Tables .............................................................................................................. VIII
1 INTRODUCTION .................................................................................................. 1
1.1 Research Background and Problem Statement ........................................... 1
1.2 Research Questions ....................................................................................... 2
1.3 Aim and Objectives ....................................................................................... 2
1.4 Scientific Approach ....................................................................................... 2
1.5 Research Limitations .................................................................................... 3
1.6 Structure of the Thesis ................................................................................ 3
1.7 List of Publications ....................................................................................... 3
2 FORMWORK PRESSURE OF SCC – A REVIEW ............................................. 6
2.1 Introduction .................................................................................................... 6
2.2 Factors Affecting Formwork Pressure Exerted by SCC ............................. 7
2.3 Concrete Mix Design ..................................................................................... 8
2.4 Fresh Concrete Properties ............................................................................ 8
2.5 Placement ...................................................................................................... 9
2.6 Theoretical Design Models .......................................................................... 9
2.7 Pressure Measurement Techniques and Technologies ............................. 10
3 RESEARCH METHODOLOGY ........................................................................... 13
3.1 Formwork Setup ........................................................................................... 14
3.2 Pressure Monitoring Kit ............................................................................... 15
3.3 Mix Design and Test Plan ............................................................................ 16
3.4 Fresh Concrete Testing ................................................................................ 18
3.5 Analysis Methods ................................................................. 21
4 RESULTS AND ANALYSIS .................................................. 23
4.1 Fresh Concrete Properties .............................................. 23
4.2 Pressure Monitoring ..................................................... 25
4.3 Hydrostatic Pressure and Actual Pressure ....................... 30
4.4 The Impact of Different Parameters on The Formwork Pressure 35
5 Modelling formwork pressure for SCC .................................... 41
5.1 Assessment of Theoretical Modeling ............................... 41
5.2 Formwork Pressure Prediction Modelling for SCC ............... 50
5.3 Modelling Form Pressure Prediction Using Shallow Neural Network 51
5.4 Form Pressure Prediction Using LSTM ........................... 56
5.5 Modeling Formwork Pressure for GGBFS-SCC .................... 59
6 CONCLUSIONS ................................................................. 64
6.1 Answers to the Research Questions ............................... 64
6.2 Concluding Remarks .................................................. 65
6.3 Future Research ....................................................... 66
7 REFERENCES ................................................................. 67
List of Figures
Figure 1: Typical form pressure envelope, the concept redrawn from (Gardner, 1985)..................6
Figure 2: Research methodology flowchart .................................................................................13
Figure 3: Laboratory setup (Gamil et al., 2023b) ...........................................................................14
Figure 4: Concrete casting timeline for 0.5 m/h casting rate ..........................................................15
Figure 5: Pressure and temperature monitoring kit developed by Vema venturi and PERI ............16
Figure 6: Laboratory concrete mixer used for the preparation of concrete .....................................18
Figure 7: Slump flow and T500 measurement setup .......................................................................19
Figure 8: Air content and density analyzer ....................................................................................19
Figure 9: Setting bag test setup (DIN18218) ...............................................................................20
Figure 10: Portable vane test (Gamil et al., 2023b) .......................................................................20
Figure 11: Scheme of the used methodology ...............................................................................21
Figure 12: Slump flow trend for BAS1 and ANLFA1 ......................................................................24
Figure 13: (a-d) Real-time pressure monitoring for SCC with different casting rates with fixed initial slump between 700-750 mm (Gamil et al., 2023b) .........................................................26
Figure 14: (a-c) Real time pressure monitoring for different slump and fixed casting rate 0.5 m/h, BAS (Gamil et al., 2023b) ........................................................................................................27
Figure 15: (a-c) Real-time pressure monitoring for SCC with different casting rates with fixed initial slump between 700-750 mm, ANLFA (Gamil et al., 2023b) .........................................................28
Figure 16: (a-b) Real-time pressure monitoring for SCC with fixed casting rate and different initial slump flow, ANLFA (Gamil et al., 2023b) .........................................................................................29
Figure 17: Form pressure during casting for SCC containing different percentages of GGBFS and fixed casting rate of 0.25m/h .........................................................................................30
Figure 18: Pressure vs the height of casting for different casting rates for normal-SCC and 700-750 mm slump flow (BAS) (Gamil et al., 2023b) .................................................................31
Figure 19: Pressure vs height for SCC with different slump flow and fixed casting rate 0.5 m/h, cement type BAS (Gamil et al., 2023b) .........................................................................................32
Figure 20: (a-c) Pressure vs height for SCC with fixed slump flow and different casting rates, cement type ANLFA (Gamil et al., 2023b) .........................................................................................33
Figure 21: Pressure vs casting height of casting for SCC with different slump flow and fixed casting rate of 0.5 m/h, cement type ANLFA .........................................................................................34
Figure 22: Hydrostatic pressure vs form pressure for different mixes of slag-SCC for 0.25 m/h
Figure 23: The effect of casting rate on form pressure (Gamil et al., 2023a)
Figure 24: Effect of initial slump flow on pressure for 0.5 m/h casting rate (Gamil et al., 2023a)
Figure 25: Effect of different types of cement on form pressure (Gamil et al., 2023a)
Figure 26: Effect of fresh concrete density on form pressure (Gamil et al., 2023a)
Figure 27: The effect of different air content on pressure (Gamil et al., 2023a)
Figure 28: Effect of ambient temperature on form pressure (Gamil et al., 2023a)
Figure 29: The effect of concrete setting time on pressure (Gamil et al., 2023a)
Figure 30: Effect of static yield stress at 15 min on form pressure (Gamil et al., 2023a)
Figure 31: The effect of different slag additions on the form pressure
Figure 32: DIN 18218 (2010) estimation vs. laboratory results (Gamil et al., 2023b)
Figure 33: Pressure estimation using Khayat et al. (2009) vs. actual sensor-recorded data (Gamil et al., 2023b)
Figure 34: Pressure estimation using Gardner et al. (2012) vs. actual sensor-recorded data (Gamil et al., 2023b)
Figure 35: Pressure estimation using Teixeira et al. (2017) vs. laboratory data (Gamil et al., 2023b)
Figure 36: Pressure estimation using Beitzel (2010) model vs. actual sensor recorded data (Gamil et al., 2023b)
Figure 37: Ovarlez and Roussel (2006) model vs. actual sensor-recorded data (Gamil et al., 2023b)
Figure 38: Pressure estimation using Proske (2010) vs. actual sensor recorded data (Gamil et al., 2023b)
Figure 39: Correlation matrix between input and output parameters (Gamil, Nilimaa, Najeh, & Cwirzen, 2023c)
Figure 40: A perceptron model for constructing the ANN (Gamil, Nilimaa, Najeh, & Cwirzen, 2023c)
Figure 41: Decision making activation function (Gamil, Nilimaa, Najeh, & Cwirzen, 2023c)
Figure 42: maximum pressure variations for learning data (Gamil, Nilimaa, Najeh, & Cwirzen, 2023c)
Figure 43: Data visualization for uniformity check, distribution of Pmax (Gamil, Nilimaa, Najeh, & Cwirzen, 2023c) .................................................................................................................. 53
Figure 44: RMSE as a function of the number of neurons (Gamil, Nilimaa, Najeh, & Cwirzen, 2023c) ................................................................................................................................. 55
Figure 45: Maximum pressure prediction using SNN with MLP (Gamil, Nilimaa, Najeh, & Cwirzen, 2023c) ................................................................................................................................. 56
Figure 46: Input and output flow of LSTM for one timestep (Gamil, Nilimaa, Najeh, & Cwirzen, 2023c) ................................................................................................................................. 57
Figure 47: Open-loop maximum pressure forecasting and example of setup 7 (Gamil, Nilimaa, Najeh, & Cwirzen, 2023c) ................................................................................................................................. 59
Figure 48: Open-loop maximum pressure forecasting and example of setup 8 (Gamil, Nilimaa, Najeh, & Cwirzen, 2023c) ................................................................................................................................. 59
Figure 49: Prediction of formwork pressure with 50% slag during casting ........................................... 61
Figure 50: Prediction of formwork pressure with 75% slag during casting ........................................... 61
Figure 51: Prediction of formwork pressure with 50% slag after casting ............................................. 62
Figure 52: Prediction of formwork pressure with 75% slag after casting ............................................. 63
List of Tables
Table 1: Factors affecting the pressure of SCC, summarized by (Gamil et al., 2021) ............... 7
Table 2: The influence of casting rate on the formwork pressure for different mix designs (Gamil et al., 2021) ................................................................. 9
Table 3: Parameters addressed by the models ........................................................................... 10
Table 4: Formwork details and pressure measurement tools (Gamil et al., 2021) .................. 12
Table 5: Laboratory tests plan for Normal-SCC (Gamil, Cwirzen, Nilimaa, & Emborg, 2023a) ......................................................................................................................... 16
Table 6: Normal-SCC mix design Gamil et al. (2023a) .......................................................... 17
Table 7: The amount of superplasticizer SP (MG592) ............................................................ 17
Table 8: Slag-SCC concrete ...................................................................................................... 17
Table 9: Variation of static yield stress for BAS2 (Gamil et al., 2023b) ................................. 21
Table 10: Fresh properties for normal-SCC (Gamil et al., 2023b) .......................................... 23
Table 11: Slump flow and T500 for Normal-SCC ..................................................................... 24
Table 12: Static yield stress at different times of rest PVτrest (Gamil et al., 2023b) ............... 25
Table 13: Fresh properties for Slag-SCC .................................................................................. 25
Table 14: Default model parameters (Gamil, Nilimaa, Najeh, & Cwirzen, 2023c) ................. 53
Table 15: Independent steps for model validation (Gamil, Nilimaa, Najeh, & Cwirzen, 2023c) ................................................................................................................................. 54
Table 16: Accuracy performance indicators (Gamil, Nilimaa, Najeh, & Cwirzen, 2023c) .... 58
1 INTRODUCTION
1.1 Research Background and Problem Statement
Concrete is commonly known as the most used building material, serving as a fundamental part of industrial buildings, housing frames, and infrastructural projects. Self-compacting concrete (SCC) is preferred in cast-in-place construction due to its favored fresh and hardened properties (Okamura & Ouchi, 2003). It is a favored concrete that flows freely and expels the entrapped air without external vibration due to its high flowability, where it is mostly used in highly congested reinforced structural elements (Khayat & Omran, 2009). It helps to reduce construction time, labor effort, and cost due to the eliminated need for compaction, and it also promotes the work environment as it requires no vibration (Feys et al., 2013). It also retains high performance in terms of mechanical properties, i.e. compressive strength and tensile strength (Okamura & Ouchi, 2003; Ovarlez & Roussel, 2006). The still relatively limited acceptance of this type of concrete by the construction industry is related to proper mix design as well as application-oriented questions, including also the formwork pressure, (Vanhove & Djelal, 2002). In Sweden, the market share is only about 10% (Mikhaltchouk & Forsman, 2021; Peterson, 2008).
The common practice of designing the formwork when casting SCC is based on assuming the full hydrostatic pressure (Khayat & Omran, 2009) (Santilli, Puente, & Tanco, 2011; Teixeira et al., 2016). This method is expensive as it results in an overdesign of the formwork (Khayat & A. Omran, 2009; Leemann, Hoffmann, & Winnefeld, 2006; Omran, Khayat, & Elaguab, 2012). The cost of formwork can reach 30 to 60 % of the construction of concrete (Nilimaa et al, 2023). Consequently, the disadvantages have often been considered to outweigh the advantages of using SCC, (Leemann et al., 2006). The literature review indicated that in most cases, the formwork pressure is lower than the hydrostatic pressure due to the structural buildup and thixotropic behavior of concrete, which leads to a reduction of the lateral pressure (Khayat & Omran, 2009). The reduction is approximated to be 92-95% when a low casting rate is used (Emanuelsson, 2018). This introduces the possibility of producing a cost-effective form design and fast construction time due to the possibility of optimizing the utilization of formwork and increasing the casting rate (Assaad & Khayat, 2006a; Perrot, 2015; Perrot, Pierre, Vitaloni, & Picandet, 2015; Teixeira, Santilli, & Puente, 2016).
The form pressure of concrete is affected by several material and project-specific factors. These factors are related to the mix design, fresh concrete properties, casting rate and technology, weather conditions, and curing procedure, (Khayat & Omran, 2009). Factors related to the concrete mix design include the grading of coarse aggregate, type and amount of cement, the use of supplementary cementitious materials (SCMs), and types of chemical admixtures. Fresh concrete properties include, for example, the slump flow, T500 time, thixotropy, setting time, and air content. Finally, during the casting and curing stage, the casting rate, casting height, casting method, curing condition, and temperature affect the initial form pressure and its reduction over time (Gamil, Nilimaa, Emborg, & Cwirzen, 2021). Properties of fresh SCC depend on the mix design, and especially on the type and amount of superplasticizers or viscosity modifying admixture (Billberg, 2006)(Santilli, Teixeira, & Puente, 2015; Tichko et al., 2015). Lower temperatures decrease the flocculation rate and dispersing mechanism intensity, resulting in higher form pressures (Billberg, 2006, Assaad & Khayat, 2006b; Khayat & Assaad, 2006; Omran, Elaguab, & Khayat, 2014; Omran & Khayat, 2014; Proske, Khayat, Omran, & Leitzbach, 2014).
To maximize the benefits of SCC, the formwork system must be sufficiently strong and rigid to withstand the increased lateral formwork pressure (Khayat & Omran, 2009). Since the pressure prediction models are conservative and inflexible, there is a need for instantaneous, real-time pressure measurement and modeling. However, this is relatively complex, expensive, and requires a certain level of expertise.
1.2 Research Questions
Based on the research background and problem statement, the following questions were formulated:
RQ1: What is the accuracy of the models currently used to predict the formwork pressure exerted by SCC in predicting the form pressure and its distribution over the formwork height?
RQ2: What are the parameters affecting the form pressure, and what is their ultimate effect on the form pressure?
RQ3: How does the inclusion of ground granulated blast furnace slag (GGBFS) affect the formwork pressure?
RQ4: Which alternative models and technologies can give a better prediction of the formwork pressure for SCC?
1.3 Aim and Objectives
This research aims to measure and develop a new model to predict the pressure exerted by normal SCC and SCC with GGBFS as an alternative binder. To achieve the aim, several research objectives were defined:
1. To analyze the current design models and identify their advantages, limitations, and drawbacks.
2. To experimentally verify the accuracy of the existing models.
3. To identify and evaluate the main factors affecting form pressure for SCC.
4. To investigate the effect of GGBFS on the form pressure.
5. To model the form pressure for normal-SCC and slag-SCC.
1.4 Scientific Approach
This research applied a scientific approach to study the problem of lateral formwork pressure. At the initial stage, an extensive literature review was conducted to understand the concept of lateral formwork pressure and determine the influencing parameters that have been proven to considerably impact the amount of pressure induced by freshly placed SCC. This included a review of the theoretical mathematical prediction models for form pressure. The literature review findings helped to explore gaps in knowledge related to the form pressure exerted by SCC. Based on the knowledge gaps, the research program was framed to address the current shortcomings regarding monitoring, predicting, and evaluating the form pressure of SCC with different levels of alternative binders.
As a result, the methodology was formulated, and the laboratory plan was accordingly developed. The study consisted of initial experimental work where several types of tests were conducted to evaluate the fresh properties of SCC. The focus of the initial experimental campaign was on assessing parameters related to structural build-up and pressure reduction while documenting changes in slump flow and viscosity over time. After that, a test setup was designed to perform a simulation of formwork pressure development in full-size elements in the laboratory. The results of the laboratory tests were analyzed and compared to the predictions of several theoretical models. A novel intelligent prediction model based on machine learning was finally developed in the last stage of this research project.
1.5 Research Limitations
The research was limited to studying the lateral formwork pressure exerted by normal-SCC and slag-SCC, focusing on the main parameters influencing the maximum pressure. The formwork setup was fixed, and there was no variation in the formwork materials. The experiments were performed in the laboratory in a controlled environment. The pressure was monitored using one type of pressure sensor. The research focused on a typical SCC mix, commonly used in Swedish construction projects.
1.6 Structure of the Thesis
This thesis consists of six different parts, which are briefly described as follows:
- **Part 1** is the introductory part of the thesis, which includes the general background, aim, and limitations of the research,
- **Part 2** introduces a state-of-the-art review of the existing prediction models for lateral formwork pressure of SCC.
- **Part 3** presents the research methodology, materials, and laboratory setup.
- **Part 4** presents the main results obtained from the experimental work and includes analyses, discussions and remarks.
- **Part 5** summarizes the modelling of SCC and assesses the current theoretical models for form pressure. This part also introduces a new type of prediction model developed by different machine-learning approaches.
- **Part 6** reviews the main findings and suggests future potential research directions and plans.
1.7 List of Publications
1. Lateral formwork pressure for self-compacting concrete—a review of prediction models and monitoring technologies, *Materials* 14, 16: 4767 (2021). Yaser Gamil, Jonny Nilimaa, Mats Emborg, Andrzej Cwirzen.
**Key findings**: This article reviews previous literature on lateral formwork pressure, highlighting limitations and gaps in knowledge. It suggests further studies on pressure measurement models, sensor development, and the relationship between pressure reduction and formwork removal time. It also highlights the need for easy-to-read sensors and further investigation into the impact of different parameters on the form pressure.
2. Digital transformation of concrete technology—a review, *Frontiers in Built Environment*, 8. (2022), Yaser Gamil, Andrzej Cwirzen.
Key findings: This article reviews the digital transformation of concrete technology, identifying trends, benefits, challenges, and opportunities and presenting technologies for monitoring concrete properties and formwork pressure.
3. The impact of different parameters on the formwork pressure exerted by self-compacting concrete. Materials 16, 2 (2023), Yaser Gamil, Jonny Nilimaa, Mats Emborg, Andrzej Cwirzen.
Key findings: Casting rate, flowability, cement type, density, air content, temperature, and viscosity all impact the form pressure differently. The casting rate increases pressure, and high flowability also increases the pressure. Cement type has a minimal impact during casting but has a larger effect on the pressure reduction. Higher density results in higher pressure, while higher air content lowers the initial form pressure. Concrete temperature affects form pressure reduction but not the maximum pressure. High-viscosity concrete has less form pressure.
4. Experimental-based assessment of formwork pressure theoretical design models for self-compacting concrete. Journal of Building Engineering, 68, 106085 (2023), Yaser Gamil, Jonny Nilimaa, Mats Emborg, Andrzej Cwirzen.
Key findings: The study compares formwork pressures from calculation models with experimental data from the laboratory tests. Results showed that the currently used models generally predict higher pressures than the actual measured pressure. The DIN18218 model approximates pressure distribution with casting height. Limitations include sensitivity to input parameters, high casting rate, and slump flow, which observed for all models.
5. Formwork pressure prediction in cast-in-place self-compacting concrete using deep learning. Automation in Construction, 151, 104869 (2023), Yaser Gamil, Jonny Nilimaa, Taoufik Najeh, & Andrzej Cwirzen.
Key findings: This study uses deep learning techniques to predict form pressure using laboratory data. The model accurately predicted the pressure trend, with the casting rate being the main parameter for model development. This model could help to coordinate the casting rate and prevent overdesigned formwork, potentially reducing costs and time.
6. Formwork Pressure Exerted by Self-Compacting Concrete Containing Different Percentages of Ground Granulated Blast Furnace Slag, Yaser Gamil, Jonny Nilimaa, Andrzej Cwirzen, Taoufik Najeh (under review).
Key findings: The findings showed that different amounts of slag replacing cement affect the behavior of formwork pressure for SCC; the pressure reduction trend was also affected because of the amount of hydration heat produced during the curing process, which can be decreased by using GGBFS in a concrete mixture.
7. Toward Digital Transformation of Concrete Casting: Forecasting Instant and Post-Casting Formwork Pressure for Ecological Self-Compacting Concrete Containing Slag Using Deep Learning, Yaser Gamil, Jonny Nilimaa, Andrzej Cwirzen, Taoufik Najeh (under review).
Key findings: The models accurately predicted the pressure during and post-casting. The results showed close prediction obtained by both models. During casting, the model is useful to predict the pressure for continuous casting, while the post-casting model is useful to visualize the reduction trends when concrete turns from fresh to hardening and a hardened state for accurate decision-making on formwork removal.
8. Forecasting Maximum Formwork Pressure for Self-Compacting Concrete Using ARX-Laguerre Machine Learning Model. Taoufik Najeh, Yaser Gamil, Jonny Nilimaa, Developments in built environment.
Key findings: The results demonstrated that forecasting with the ARX-Laguerre model is highly accurate. The model can forecast the maximum pressure exerted by SCC with less complexity. The model performance was found to be consistent with less difference between actual experimental results and predicted results. With a recursive and simple representation, the resulting model, known as the ARX-Laguerre model, ensures the parameter number reduction. Providing fast prediction of the maximum pressure.
9. Machine learning in concrete technology: A review of current research, trends, and applications. Frontiers in Built Environment, 9, 1145591 (2023), Yaser Gamil.
Key findings: This article reviews the current development of the use of machine learning techniques in concrete technology to characterize materials, develop mix designs, and predict concrete properties. The findings suggested that machine learning can be extended by utilizing historical data from scientific experiments and industry data. Modeling with machine learning saves time and costs while offering acceptable accuracy.
2 FORMWORK PRESSURE OF SCC – A REVIEW
2.1 Introduction
Formwork pressure is defined as the horizontal stresses that fresh concrete induces during casting (Gardner, 1985). The formwork pressure design for normal concrete has been established in different standards such as (ACI347R, 2005), while limited theoretical models have been introduced to design the form for SCC (Khayat & Omran, 2009). In practice, hydrostatic pressure is used which is not technically desired (Proske et al., 2014). Studies have shown that the maximum lateral pressure is less than the hydrostatic pressure when casting with SCC due to the structural build-up that takes place in older cast concrete layers which leads to a reduction of pressure, similarly, with the pressure reduction which is applicable only for slower casting rates and higher structures. But it is also more important for higher structures which would otherwise experience very high pressures (Assaad, 2016; Assaad, Khayat, & Mesbah, 2003; Billberg, 2006; Ghoddousi, Javid, Amiri, & Donyadideh, 2019; Omran et al., 2012; Omran & Khayat, 2014; Tuyan, Ahari, Erdem, Çakır, & Ramyar, 2018). This is supported by the findings of a full-scale experiment (Vanhove & Djelal, 2002), which showed that the maximum pressure can be about 30% lower than the hydrostatic pressure. A 20% reduction was measured for pumped concrete from the top, especially at the structure’s base despite the casting rate of 19.5 m/h to 25 m/h and the slump flow of 700 mm. As can be noted from Figure 1, the form pressure is reduced with time, and the major controlling parameters are the depth of freshly placed concrete and the degree of development of structural build-up (shear strength) for the old concrete (Vanhove & Djelal, 2002). The casting rate and the height of the concrete member is also important factors as they govern whether the structural build up initiates during the casting.
The pressure behaviour during concrete casting has triggered researchers, formwork designers, and engineers to further study this phenomenon, and attempts have been made to model the pressure during concrete placement (Beitzel, 2010; Teixeira et al., 2016). This has led to many studies on the topic of form pressure. The form pressure depends on many different parameters related to the concrete mix design, fresh concrete properties, and used placement methods, (Gamil et al., 2021).
2.2 Factors Affecting Formwork Pressure Exerted by SCC
Several factors affect the magnitude of lateral formwork pressure exerted by SCC. It begins with material selection and characterization, where the application of different cement types, aggregate gradations, and admixtures results in variable plastic behavior of SCC (Esmaeilkhaniian, Khayat, Yahia, & Feys, 2014; Khayat & Assaad, 2006; Kim, Beacraft, & Shah, 2010; Kim, Noemi, & Shah, 2012; Omran et al., 2012). The fresh SCC properties are the results of the mix proportion and the used material types. The variation of slump flow, T500, and setting time depends on the mix design (Khayat & Assaad, 2006). During casting, the casting rate, casting method, and ambient temperature also influence the amount of exerted lateral pressure (Assaad & Khayat, 2006a; Perrot, 2015; Santilli et al., 2011; Teixeira et al., 2016). The impacting factors are classified into three groups: material selection and mix proportions, fresh concrete properties, and operational casting method, Table 1 (Gamil et al., 2021).
Table 1: Factors affecting the pressure of SCC, summarized by (Gamil et al., 2021)
| Category | Parameters | References |
|---------------------------|-----------------------------------------------------------------------------|----------------------------------------------------------------------------|
| Concrete Mix design | Gradation, shape, texture, and amount of fine and coarse aggregate | (Assaad & Harb, 2017; Billberg, 2012; Khayat & Omran, 2009; Khayat & Assaad, 2006) |
| | Water to cement ratio | (Ghoddousi et al., 2019; Gregori et al., 2008; Khayat & Assaad, 2006; Tuyan et al., 2018) |
| | Amount and types of SCMs, superplasticizers, retarding admixtures, viscosity modifying agents | (Assaad & Khayat, 2006, 2005; Assaad et al., 2003; Billberg, 2012; Jiří Němecček, Vojtěch Zacharda, 2020; Khayat & Omran, 2009; J. J. H. Kim et al., 2012; Kwon et al., 2010b; Wu & Li, 2020) |
| | Cement type and amount | (Cygan et al., 2019; Feys et al., 2013; Ghoddousi et al., 2019; Khayat & Omran, 2009; Leemann & Winnefeld, 2006; Santilli & Puente, 2013) |
| Fresh concrete properties | Fresh concrete temperature | (Gardner, 1980; Gardner et al., 2012) (Assaad & Khayat, 2006; Omran et al., 2014; Santilli et al., 2015) |
| | Setting time (Rate of hardening) | (Wu & Li, 2020; Khayat & Omran, 2009; Graubner et al., 2012) |
| | Concrete density | (Billberg, 2012) |
| | The initial low-shear stress of fresh SCC | (Feys et al., 2013; Khayat & Assaad, 2006) |
| | Slump flow and T50 (consistency class) | (Drewniok et al., 2017; Esmaeilkhaniian et al., 2014; J. H. Kim et al., 2010; Leemann & Winnefeld, 2006). |
| | Level of thixotropy and viscosity | (Assaad & Khayat, 2006; Joseph Jean Assaad, 2016; Khayat & Omran, 2009; Leemann & Winnefeld, 2006; Lomboy et al., 2014; Song et al., 2019; Tichko et al., 2015) |
| Placement technology | Casting rate and casting method | (Assaad & Khayat, 2006; Gardner et al., 2012; Khayat & Assaad, 2008; J. H. Kim et al., 2010; Lange et al., 2008; Leemann & Winnefeld, 2006; Teixeira et al., 2016; Tejeda-Dominguez et al., 2005) |
| | Humidity and ambient temperature | (Henschen, 2018; Shakor & Gowripalan, 2020) |
| | Reinforcement | (Khayat & Omran, 2009; Matar & Assaad, 2017; Perrot et al., 2009; Santilli et al., 2015; Tichko et al., 2015) |
| | Pumping location | (Labuschagne, 2018; Leemann & Winnefeld, 2006; McCarthy et al., 2012; Tichko et al., 2014, 2015) |
| | The head or vertical rise while casting (size of the structure, casting height) | (Feys et al., 2013; Khayat & Omran, 2009; Omran et al., 2014) |
| **Type of formwork and geometry (stiffness, surface friction, surface roughness, use of demolding agents, size, weight and shape of the formwork)** | (Arslan et al., 2005; Brameshuber et al., 2011; Khayat & Omran, 2009; Kim et al., 2010; Kwon et al., 2010a; Kwon et al., 2011, 2012; Nemati et al., 2019; Omran & Khayat, 2017; Tejeda-Dominguez et al., 2005) |
|---|---|
| **External stresses imposed by workers, equipment and materials, and possible external loads such as wind, pressure sensor location and mounting direction of the sensors** | (Khayat & Omran, 2009; Omran & Khayat, 2017) |
### 2.3 Concrete Mix Design
Several parameters appear to influence the formwork pressure at the materials selection stage. For example, the gradation and coarse aggregate type impacts the formwork pressure, as the mixture as a whole does affect the pressure (Omran et al., 2012). In the same way, (Assaad, 2004) showed that the aggregate shape affects the internal friction in the mix and influences the shear strength of the concrete and the maximum initial lateral pressure, where higher internal friction leads to lower pressure. Hence, the greater volume of coarse aggregate generates a higher degree of internal friction and lowers the lateral formwork pressure (Kwon, Phung, Park, Kim, & Shah, 2010, 2011). That is due to the interlocking between the aggregate particles leading to an arching matrix in the mix and a reduction in the concrete flow, which also leads to different thixotropic behavior of the blend (Billberg, 2006). This happens when the concrete is not in a fresh state, the heavier aggregates settles in the paste when hydration begins to form a crystalline structure, causing pressure reduction (Gardner, 1985). Different research by (Matar and Assaad, 2017) studied the form pressure with SCC containing recycled concrete aggregate (RCA). It demonstrated that RCA reduced the initial pressure due to its high surface roughness and increased internal friction. The water-to-cement ratio also influences the amount of lateral formwork pressure, and a higher water-to-cement ratio leads to a higher initial lateral pressure, as demonstrated in a study conducted by (Khayat & Assaad, 2006) when mixed with a water-to-cement ratio of 0.46 generate higher initial pressure than mixes with 0.4 and 0.36 w/c. The addition of mineral admixtures and powder materials has been found to affect the form pressure. The effect is more on workability where a high slump leads to a high-pressure (Kim et al., 2010; Kim et al., 2012). Likewise, the viscosity-enhanced admixture showed an effect on the pressure (Assaad & Khayat, 2006b). Vertical and horizontal reinforcing bars tend to reduce the pressure (Matar & Assaad, 2017; Perrot, Amziane, Ovarlez, & Roussel, 2009).
### 2.4 Fresh Concrete Properties
The fresh concrete properties, including rheology, structural buildup rate, air content, density, and temperature, significantly influence the form pressure (Khayat & Omran, 2009) (Drewniok, Cygan, & Golaszewski, 2017). For example, a higher slump and higher thixotropic index increase the pressure (Nilimaa, 2022) (Omran & Khayat, 2014). The variability of thixotropic properties occurring between concrete layers could change the pressure response (Assaad, 2016). This is also related to the behavior of concrete at rest (Billberg, 2006). A shorter setting time tends to accelerate the reduction of the pressure, in which less time is required to set (Proske & Graubner, 2010). Higher temperature accelerates hydration, leading to faster structural build-up that leads to a reduction of the lateral pressure starting from the lower layer of the cast concrete (Assaad & Khayat, 2006a) and (Santilli et al., 2015).
2.5 Placement
The casting technology affects the pressure significantly. For instance, a slower casting rate leads to lower lateral pressure because the concrete is given enough time to harden at the lower layers, (Assaad & Khayat, 2006a). On the contrary, a high casting rate leads to a higher initial formwork pressure (Teixeira et al., 2016). Example data are shown in Table 2.
Table 2: The influence of casting rate on the formwork pressure for different mix designs (Gamil et al., 2021)
| Casting rate m/h | Approximate Max Recorded Pressure (kPa) | Height (m) | Reference |
|------------------|----------------------------------------|------------|----------------------------|
| 19 | 97 | 0.8 | (Leemann & Winnefeld, 2006) |
| 10 | 180 | 12.5 | (Khayat & Omran, 2010) |
| 7 | 24.01 | 1.2 | (Drewniok et al., 2017) |
| 6 | 101 | 6.6 | (Billberg et al., 2014) |
| 3.5 | 23 | 2.6 | (McCarthy & Silfwerbrand, 2011) |
| 2.74 | 33.78 | 1.10 | (Tejeda et al., 2005) |
The formwork type and for example higher surface friction tend to lower the pressure (Omran & Khayat, 2017) (Arslan, Şimşek, & Subaşı, 2005; Kwon et al., 2011). The bottom-up casting of SCC is associated with an additional pressure that may even exceed the hydrostatic level (Omran et al., 2014).
2.6 Theoretical Design Models
Creating design models that can predict the formwork pressure while casting with SCC is of high interest to the construction industry. Research and developments have been made to model the pressure, but the complexity of different material properties and casting characteristics has made it difficult to accept any general guidelines. Therefore, it is still common to assume hydrostatic pressure when designing formwork for SCC. As part of this thesis, the initial state-of-the-art review paper covered these prediction models (Gamil et al., 2021). Several models have been established to estimate the pressure for example models developed by (Assaad & Matar, 2018; DIN18218, 2010; Graubner, Boska, Motzko, Proske, & Dehn, 2012; Kwon, Shah, Phung, Kim, & Lee, 2010; Lange et al., 2008; Ovarlez & Roussel, 2006; Proske & Graubner, 2010; Saleem, Baluch, Rahman, & Al-Osta, 2017; Teixeira, Puente, & Santilli, 2017). The concepts centered on the impact of certain parameters, such as material properties and mix design, fresh concrete properties and placement methods, and casting rate, (Gamil et al., 2021). The development of a comprehensive model that is suitable for all mix proportions is challenging. Every concrete has its unique fresh-state properties and behaves differently. The SCC, while casting, has a liquid-like consistency that transitions later into viscoelastic. The flowability of SCC can be restored early by re-vibrating (Omran & Khayat, 2014). SCC thixotropic behavior differs from normal concrete (Billberg, 2006). Thixotropy is defined as the reduction in plastic viscosity and is a time-dependent feature, (Assaad, 2016; Billberg, 2006; Ghoddousi et al., 2019; Khayat & Assaad, 2006; Omran et al., 2012; Song, Cui, & Yan, 2019). These parameters affect the amount of pressure and the removal time of formwork. Casting rate, specifically, is one of the main factors considered by all the models, Table 3, due to its high degree of impact on the amount of pressure (Khayat & Omran, 2009; Teixeira et al., 2016). The parameters used in different models are presented in Table 3.
Table 3: Parameters addressed by the models.
| Model | R | SF | γ | tE | H | Dmin | τ | MAS | WP | t | e | Sb | σ | C | CT | No |
|------------------------------|-----|-----|-----|-----|-----|------|-----|-----|-----|-----|-----|-----|-----|-----|-----|
| DIN 18218:2010-01 | × | | | | | | | | | | | | | | 3 |
| Khayat et al (2009) | × | × | | | | | × | × | | | | | | | 7 |
| Lange and Tejeda-Dominguez (2008) | × | | | | | | | | | | | | | | 3 |
| Ovarlez and Roussel (2006) | × | | | | | | | | | | | | | | 5 |
| Perrot et al (2015) | × | | | | | | | | | | | | | | 6 |
| Gardner et al. (2012) | × | × | | | | | | | | | | | | | 4 |
| Beitzel (2010) | × | | | | | | | | | | | | | | 3 |
| Proske (2010) | × | | | | | | | | | | | | | | 4 |
| Teixeira (2016) | × | × | | | | | | | | | | | | | 6 |
| Parameters frequency | 9 | 2 | 7 | 2 | 5 | 3 | 4 | 1 | 1 | 2 | 1 | 1 | 1 | 1 | 1 |
Note: 1. Casting rate (R), 2. Time for Slump flow reduction to zero (SF), 3. Unit weight (γ), 4. Concrete setting time (tE), 5. Form height (H), 6. Minimum form dimension (Dmin), 7. Static yield stress (τ), 8. Maximum aggregate size (MAS), 9. Waiting period(s) between successive lifts (WP), 10. Casting time (t), 11. Form thickness (e), 12. Steel section per meter (Sb), 13. Rebar diameter (σ), 14. Concrete temperature (C), 14. Cement type (CT)
Selected models were compared as described in section 4.1. The following models were included: DIN18218 (2010); Khayat et al. (2009); Gardner et al. (2012), Teixeira et al. (2017); Beitzel (2010); Ovarlez and Roussel (2006); Proske (2010), and Lange and Tejeda (2008). The assessment results are described in the published article (Gamil, Nilimaa, Cwirzen, & Emborg, 2023b). The following key findings can be listed as:
1. Prediction outcomes vary due to the different input factors used by each studied model.
2. The DIN 18281 model is more accurate at forecasting the pressure for longer casting times, i.e., large structural elements, and may be useful for lower casting rates. The casting rate is considered the primary input parameter.
3. The yield stress PV_{t=rest} value at 15 minutes, which represents the structural build-up of concrete at rest, is the foundation of the pressure model created by Khayat and Omran (2009). Although the model considers the implications of time-dependent variations in the thixotropic behavior of concrete, it also produced a less conservative design as casting rates increased.
4. When casting rates are low, pressure estimates based on the Gardner et al. (2012) model were close to the trend obtained from actual laboratory experiments; however, deviations were observed when casting rates were high.
5. Teixeira et al. (2017) regression model underestimated the pressure for certain cases.
6. Beitzel's (2010) model, which emphasizes the height of the form as a primary input parameter, indicated that the pressure did not decrease below the maximum pressure but rather increased as the form height increased.
7. The values predicted by Ovarlez and Roussel's (2006) model were close to the outcomes of the laboratory experiments. Since the model considered height and structural build-up, the old cast layer pressure at the bottom was reduced.
8. At higher casting rates Gardner et al. (2012) indicated that the pressure response is hydrostatic.
9. A similar trend was observed for Proske's (2010) model, but in this case, the estimated pressure exceeds the hydrostatic pressure.
2.7 Pressure Measurement Techniques and Technologies
Cast-in-place or cast-in-situ is a common method of concrete construction where building components are cast at the building site, requiring proper planning and design for formwork. There are possibilities to industrialize the cast-in-place technology further to improve
productivity, the working environment, the quality of the finished product, and durability (Li, Yin, & Yang, 2021). Digitalization using the most recent advancements in IT-based production and materials technology, such as Lean Construction and Building Information Modelling (BIM), is one of the primary developing approaches. Cast-in-place construction can benefit even more from digitalization, particularly during casting and hardening. The lack of fundamental information required to create various physical and mathematical models is one of the biggest obstacles to digitalization and automatization in concrete technology. These models serve as the basis for the development of planning and controlling software, which also requires the support of field data gathered by reliable sensors (Gamil & Cwirzen, 2022). One of the most important monitoring processes is the form pressure while casting with SCC.
In the past, many pressure gauge developers and producers have concentrated on the accuracy of form pressure measurement. The difficult part is the need for the sensors are in contact with concrete (A. F. Omran & Khayat, 2013). Accurate and real-time monitoring might be challenging, (Walther, 2018). Research continues to create a smart and self-adapting pressure modeling and monitoring system, (Khayat & Omran, 2009).
Existing systems primarily employ sensors fitted and positioned on the form's inner surface to measure the pressure (Khayat & Assaad, 2008). Additional sensors are mounted to the form parts to measure the lateral stress on various components, such as studs, bolts, bracings, and ties (Wu & Li, 2020). French construction company GMT (Bernabeu, 2000) monitored the pressure for a formwork using a manometer to record the pressure at the surface, while an electronic sensor was used to monitor the pressure at direct contact. The casting rate was 10 to 15 m/h, which led to the development of a hydrostatic pressure, (Assaad & Khayat, 2006a; Perrot, 2015; Teixeira et al., 2016). In Sweden, NCC AB used a hydraulic jack at different formwork heights, while casting using pumps from the top and bottom; the casting rate was 6 to 12 m/h, and the maximum recorded pressure was 64 kPa, (Bernabeu, 2000). But these types of sensors cannot capture the pressure reduction and that is the common drawbacks of these sensors.
Numerous laboratory and full-scale tests have been conducted. For example, (McCarthy and Silfwerbrand, 2011) performed a full-scale test with a wall dimension of 2.4 m in length and 3.3 m in height. The pressure was monitored using various techniques, including direct pressure sensors, strain at the form's members, and tension force at the braces or ties.
The Honeywell company produces sensors that measure direct pressure and have range from 0 to 687 kPa. The sensors were placed 110, 530, 1130, 1730, and 2630 mm away from the form's bottom. The casting rate was 1-3.5 m/h. The comparison of the variations in tie-generated stresses, member-induced strain, and direct pressure was the main emphasis of the result. In another full-scale experiment, a group of scientists and area experts validated the pressure models' current predictions on eight wall structures. Despite the results' sufficing accuracy, the study's recommendations suggested more improvement and verifications. Furthermore, it was advised that more research is required to determine how temperature, moisture, and admixture dosage affect the pressure, (Bilberg et al., 2014). The state-of-the-art articles present more details on pressure techniques and technologies (Gamil et al., 2021) (Gamil & Cwirzen, 2022). Most studies used sensors mounted to the formwork parts to observe the lateral stresses but no direct contact with the concrete and that is an observed drawback of the current method of pressure reading and monitoring.
Table 4: Formwork details and pressure measurement tools (Gamil et al., 2021)
| Pressure measurement tools | Formwork Type | Type of structure/dimensions | Reference |
|----------------------------|---------------|------------------------------|-----------|
| Mounted pressure sensor | Steel | The wall structure of dimensions 0.2 x 0.75 x 2.7 m & 0.25 x 4.9 x 4.7 m & 0.20 x 0.20 x 0.975m | (Leemann & Winnefeld, 2006) |
| Strain gauge-based pressure sensors | Steel | Three walls and one column | (Tejeda-Dominguez et al., 2005) |
| Flush Diaphragm Millivolt Output Type pressure sensors | Steel | Retaining walls | (Khayat & Assaad, 2008) |
| Pressure transducers | Steel | Lab setup | (Kim et al., 2010) |
| Pressure sensors with 19 mm diameter and electronic transducers with 0-1380 kPa range and 0.25% accuracy | PVC | The lab setup uses PVC with a diameter of 200 mm and a height of 700 mm. | (Khayat & Omran, 2010) |
| Honeywell ABH100PSC1B pressure sensors are rated for 0 to 689 kPa. | Thick plywood panels mounted on steel frames | Security Wall 0.27 m wide, 6 m tall, and 400 m long wall | (McCarthy & Silfwerbrand, 2011) |
| Pressure transducers Omega PX43E0-100GI and load cells attached to tie-bars and pressure transducers installed in the inner surface of fresh concrete. | Steel | Used 8 different wall dimensions. Walls Nos. 1, 3, 5 and 7 are 6.6 m in height, 2.4 m in length, and 0.2 m in thickness. Walls Nos. 2, 4 and 6 differ only by height = 4.2 m. Wall no 8 is 4.2 m in height but has a thickness of 0.4 m | (Billberg et al., 2014) |
| Pressure transducer | Steel | Column 2 m height | (Perrot et al., 2015) |
| Pressure sensors with a diameter of 87 mm were placed at 0.135 m, 0.375 m and 0.75 m from the bottom. | N/A | Column (0.2x0.2x1.2) m | (Drewniok et al., 2017) |
| Linear variable differential transformers and high-precision digital micrometer strain gages | A Plexiglas acrylic | Lab setup rectangular sample 1600 mm height, 400 mm length, and 200 mm width | (Joseph J. Assaad & Matar, 2018) |
| Flush diaphragm pressure sensors | Transparent plastic | Lab setup with square column dimension 16×16×70 cm | (Benaicha et al., 2019) |
Several drawbacks have been observed with current systems, which include:
- The requirement to drill a hole into the form.
- The diaphragms have direct contact with concrete, which damages the form.
- Some sensors use a pressure diaphragm as a gel, which necessitates calibration and replacement of the sensor gel and occasionally misreads the pressure due to air bubbles.
- Sensors, such as braces and ties, are mounted to the formwork members to read the stress, which gives a reading only on the excess stresses and not the actual form pressure.
Hence, more research is needed to develop smart and form-friendly sensors that can detect the increase and reduction of pressure on time while monitoring other parameters such as concrete and atmospheric temperature.
3 RESEARCH METHODOLOGY
The flowchart in Figure 2 demonstrates the used methodologies. It indicates a sequential process from a preliminary study to the final stage of outcome dissemination.
Figure 2: Research methodology flowchart.
3.1 Formwork Setup
A laboratory setup was developed to manage the casting process on a small scale. A circular pipe with dimensions of 15 cm in diameter and 200 cm in height was used as the formwork (Figure 3). The pipe is a commercial-type PVC, and 4 of them were transparent acrylic for precise monitoring of the casting process. A pressure system consisting of four sensors connected and linked together as a whole monitoring system was used to record the concrete pressure while casting.
The sensors were positioned at different heights: sensor 1 at the bottom, sensor 2 at 50 cm from the bottom, sensor 3 at 100 cm from the bottom, and sensor 4 at 150 cm from the bottom. The sensors were mounted on a plastic adapter previously designed and produced to hold the sensors in the designated position. For the sensors' diaphragm to be in direct contact with the concrete, 50 mm holes were made in the formwork.
The concrete was poured from the top with a specified casting rate; for example, for 0.25 m/h, one batch filled the form with 0.25 m of concrete, and the casting height was then maintained for one hour when the following batch was delivered. The concrete properties were also controlled by having the same flowability for all batches. After each casting, a new concrete batch was prepared for the next layer. After preparing the concrete, the main material parameters were measured, including the slump flow, T500, air content, temperature, yield stress, and density. Then, the concrete was cast. Figure 4 shows the process of casting a 2-meter column while adopting 0.5 meters per hour as a casting rate. The first depth of 0 to 0.5 meters was cast at the start of the first hour using freshly prepared concrete, and then the following 0.5 to 1 m was released in the beginning of the next hour till the complete height of the column was reached. The same process was used to cast other columns but with different casting rates per hour. For example, for a casting rate of 1 m/h, the total lead time of casting was 2 hrs. However, for 0.25 m/h the total time was 8 hrs.
3.2 Pressure Monitoring Kit
The sensors used for the pressure monitoring were developed and supplied by Vema venturi AB and PERI AB. Figure 5 shows the system, which consists of four sensors. The system has a main unit that wirelessly communicates with sensors and nodes. The sensor consists of a diaphragm and membrane that has a 50 mm diameter. The drawback is that the sensors require calibration after 5 castings by replacing the membrane and removing any trapped air bubbles. Changing the membrane can be complicated. Another issue observed is that cleaning the membrane is difficult where the rubber containing the gel is very sensitive. The main unit transmits the data into the cloud. From the cloud, the pressure over time is monitored instantaneously. The system is also attached to a thermocouple to measure the internal temperature. The system can record the pressure, the concrete temperature, and the atmospheric temperature in one-minute intervals. The interactive system helps to make informed decisions with real-time data. Figure 5 shows the PERI InSite Pressure Sensor complete system. The pressure the concrete exerts on the formwork is measured using the PERI InSite Pressure Sensor. The pressure measurements are sent straight to the cloud, where the ISC (InSite Construction) Web Application allows monitoring.
3.3 Mix Design and Test Plan
Several campaigns of laboratory tests were conducted in the laboratory where the first test campaign focused on casting rate, slump flow, and cement type as described in Table 5 while Table 8 describes the second campaign of tests where the focus was on SCM i.e. slag. The testing plan for the laboratory work is shown in Table 5. The casting rates included 0.25, 0.5, 1, and 4 meters per hour (m/h). The targeted initial slump flow, achieved by adjusting the superplasticizer amount, was 700–750, 600–650, 500–550-, and 400–450 mm. Focus parameters included casting rate, slump flow, and cement type.
Table 5: Laboratory tests plan for Normal-SCC (Gamil, Cwirzen, Nilimaa, & Emborg, 2023a)
| Test code | Targeted initial slump flow (mm) | Casting rate (m/h) | Cement type | Focus parameter |
|-----------|----------------------------------|--------------------|------------------------------|-------------------------------|
| BAS1 | 700–750 | 0.25 | CEM II/A-V 52.5 N (BAS) | Casting rate |
| BAS2 | 700–750 | 0.5 | | Slump flow |
| BAS3 | 600–650 | 1 | | |
| BAS4 | 500–550 | 4 | | |
| BAS5 | 400–450 | | | |
| ANLFA1 | 700–750 | 0.25 | CEM II/A-V 42.5 N (ANLFA) | Cement type, casting rate |
| ANLFA2 | 700–750 | 0.5 | | Cement type, the slump flow |
| ANLFA3 | 700–750 | 4 | | |
| ANLFA4 | 600–650 | | | |
| ANLFA5 | 500–550 | | | |
Two types of Portland cement were used. The first cement was Bascement (BAS) type CEM II/A-V 52.5 N Portland-fly ash. The second cement was Anläggningscement FA (ANLFA), containing fly ash type CEM II/A-V 42.5 N MH/LA/NSR. Both are CEMII normal hardening types of cement, the only difference is the strength class. MasterGlénium 592 superplasticizer (SP) was used for all batches and its amount varied. A 75-liter Zyklos pan concrete mixer was used to prepare the concrete. Batches of concrete were prepared for each casting layer. The slump flow measurement was tracked and maintained for each batch to ensure the same flowability.
Table 6: Normal-SCC mix design Gamil et al. (2023a)
| Material | Cement: BAS/ANLFA | Filler (Lime 40) | Agg 0–8 | Agg 8–16 | SP (MG592) | Water |
|-------------------|-------------------|------------------|---------|----------|------------|-------|
| Kg/m³ | 350 | 140 | 978.1 | 652.08 | Table 7 | 207 |
Table 7: The amount of superplasticizer SP (MG592)
| Test code | BAS1 | BAS2 | BAS3 | BAS4 | BAS5 | BAS6 | BAS7 | ANLFA1 | ANLFA2 | ANLFA3 | ANLFA4 | ANLFA5 |
|-----------|------|------|------|------|------|------|------|---------|---------|---------|---------|---------|
| | 5.25 | 5.3 | 5.25 | 5.25 | 3.6 | 2.75 | 2.02 | 4.38 | 4.38 | 4.38 | 3.81 | 3.4 |
All units in Table 7 are in kg/m³
Concretes containing GGBFS were based on the Anläggningscement FA (ANLFA) and had 12.5, 25, 50, and 55 wt.% of GGBFS by the cement weight. These tests are different from the tests in Table 5 where in Table 8 the focus is the use of slag to replace cement. The percentage of SP ranged from 2.1 to 3.5 kg/m³. The content of SP was defined as monitoring the bleeding, once the issue of bleeding occurs then, the amount of SP was fixed. Swecem AB supplied the GGBFS type “Merit” slag. The product complies with SS EN 15167-1. Limestone powder was used as a filler. It had a surface area of 330 m²/kg and a 2.76 g/cm³ density.
Table 8. Slag-SCC concrete
| Materials (kg/m³) | Mix code |
|-------------------|----------------|
| | M1-Control | M1-12.5% | M1-25% | M1-50% | M1-75% |
| Cement | 350 | 306.25 | 262.5 | 175 | 87.5 |
| Slag | - | 43.75 | 87.5 | 175 | 262.5 |
| Superplasticizer (SP) | 3.5 | 3.2 | 2.7 | 2.5 | 2.1 |
| Limestone filler | | | | | |
| Aggregate (0-8) mm| | | | | |
| Aggregate (8-16) mm| | | | | |
| Water | | | | | |
The concrete was prepared locally in the laboratory using a Zyklos pan-type 75-litre concrete mixer. The mixer used to prepare the mix is shown in Figure 6.
Figure 6: Laboratory concrete mixer used for the preparation of concrete.
3.4 Fresh Concrete Testing
The following fresh concrete properties were determined: slump flow, T500, air content, density, and static yield stress. The slump flow and T500 were recorded every 30 minutes until the flow diameter reached 400 mm (Gardner, Keller, Quattrociocchi, & Charitou, 2012). It served as a guide for determining the period theoretical models utilize and the point at which concrete loses its flowability and begins to form its structural buildup. The ambient and concrete temperatures were also recorded. The slump flow and $t_{500}$ tests followed the SS-EN 12350-8:2019 standard (EN12350-8, 2010). As a threshold, SCC needs to have a slump flow greater than 550 and T500 less than 7 seconds. The sampling followed the EN 12350-1 standard (EN12350-1, 2009). The air content was determined following the ASTM C173/C173M-23 Standard Test Method for Air Content of Freshly Mixed Concrete by the Volumetric Method”, Figure 8.
Figure 7: Slump flow and T500 measurement setup.
Figure 8: Air content and density analyzer.
The setting bag test, which is required as an input parameter for the German model, was carried out following DIN 18218. It requires filling an 8-liter bucket with concrete and placing it in a polyethylene plastic bag. Every half an hour, the consistency is assessed by manually applying a thumb pressure of around 50 N to the bag's surface and observing the imprint on the concrete (Figure 9). The impression's depth indicates the setting condition. The definition of setting time is 1.25 times the time required to dent less than 1 mm. For example, the setting time is recorded
as $kb=5$ h; then the final setting time is $te=1.25 \times 5 = 6.25$ h, and concrete cast longer than 6.25 h from the mixing is assumed to be self-carrying according to DIN18218.
**Figure 9**: Setting bag test setup (DIN18218)
The portable vane test was performed for each concrete recipe to measure the static yield stress at 15 min of rest ($PV\tau_{0rest@15min@T_1}$), Figure 10 (Khayat & A. Omran, 2009). It is also a simplified method to monitor the structural buildup of concrete (Omran et al., 2011).
**Figure 10**: Portable vane test (Gamil et al., 2023b)
After the concrete batch had been mixed, the cubes were filled with freshly mixed concrete to a specific immersion height that has been noted. The container was then covered while at rest, and a torque meter was attached to the vane. The vane was slowly rotated for 10 to 15 seconds. The maximum torque value was then recorded and converted into static shear stress using the following equations: $PV\tau_{0rest} = \frac{T}{G}$ where: $G = 2\pi rr^2 \left(h + \frac{1}{3}r\right)$ and T is the torque value, r is the vane radius (37 mm), h is the immersion depth of the vane into the concrete (180 mm), then, G is calculated for this test as 1653.6 cm$^3$. Table 9 shows an example of the results for concrete mix with slump: 700-750 mm, with BAS cement. At various intervals, the variation in $PV\tau_{0rest}$ with rest time was documented, which indicated a change in the thixotropic properties of the concrete.
Table 9: Variation of static yield stress for BAS2 (Gamil et al., 2023b)
| Minutes | Torque (T) kg.cm | PVτ<sub>rest</sub> (kg/cm<sup>2</sup>) | PVτ<sub>rest</sub> (Pa) |
|---------|-----------------|----------------------------------------|------------------------|
| 0 | 10.5 | 0.006 | 622.72 |
| 15 | 11.9 | 0.007 | 705.75 |
| 30 | 21.7 | 0.013 | 1286.95 |
| 45 | 23.1 | 0.014 | 1369.98 |
| 60 | 24.3 | 0.015 | 1441.15 |
3.5 Analysis Methods
After the laboratory experimental work, the data collected for each test was analyzed and the first stage in the analysis was to compare the form pressure values from the laboratory with the estimations obtained by theoretical models which were discussed in section 2.6. Figure 11 (Gamil et al., 2023b) demonstrates the process of the comparison.
Figure 11: Scheme of the used methodology.
The second phase of the analysis was the study the effects of different parameters on the formwork pressure. This included parameters such as slump flow, T500 time, fresh concrete density, air content, static yield stress, concrete setting time, and concrete temperature. Details on the adopted methods are explained in detail in (Gamil et al., 2023a).
In addition to studying existing models a new model was developed based on the machine learning method, (Abunassar, Alas, & Ali 2022; Ghahramani, 2015; Jordan & Mitchell, 2015; Shalev-Schwartz & Ben-David, 2014; Thai, 2022). MATLAB 2020b and Deep-Learning Toolbox (MathWorks). The process can be summarized in the following steps:
1. Data collection: the data were collected using the pressure sensors for all the mixes.
2. Data exploration and filtration: Basic data exploratory analysis was performed to understand the data type while identifying potential outliers or patterns, which was carried out using graphs.
3. Data preprocessing: handling missing or unwanted data, adjustments of format, and arrangement of the data.
4. Data splitting: division of raw data into data that can be used for training the model, validating the model, and verifying the model. Each type has no specific percentage, but it was decided when the model achieves acceptable accuracy.
5. Model selection: selection of a suitable machine learning algorithm that fits the research problem, which was the formwork pressure prediction. All data in this study were time series and the size had a significant meaning for the analysis.
6. Model training: selection of data to train the model.
7. Model evaluation: evaluation of the model using data that were not used previously to assess the model's ability to generalize based on new predictions. Several threshold criteria were checked for accuracy, which is discussed in a later section. If the model performs well, then it is deployed for real case analyses. The model also required frequent monitoring and maintenance during new data use to sustain its accuracy.
4 RESULTS AND ANALYSIS
4.1 Fresh Concrete Properties
The data obtained from new concrete testing were used during the assessments as input parameters for the theoretical models obtained from the literature. This helped to mimic the actual application of the models while comparing the output with the pressure data obtained from the laboratory. As observed from Table 10, the fresh concrete density varied depending on the concrete’s flowability and the cement type. Concrete made with ANLFA tended to have higher density when the workability was lower, whereby the air content exhibited a closer range between different mixes, and concrete with a higher slump showed lower air content. The fresh concrete temperature was very similar since the concrete was prepared indoors with the same water temperature.
Table 10: Fresh properties for normal-SCC (Gamil et al., 2023b)
| Test code | Density (Kg/m³) | Air content (%) | Air temperature °C | Fresh Concrete temperature °C | Setting time (h) |
|-----------|-----------------|-----------------|--------------------|-------------------------------|------------------|
| BAS1 | 2324 | 1.6 | 23 | 18 | 6 |
| BAS2 | 2326 | 1.8 | 23 | 18 | 6 |
| BAS3 | 2331 | 1.7 | 22 | 18 | 6 |
| BAS4 | 2321 | 1.9 | 21 | 19 | 6 |
| BAS5 | 2332 | 1.9 | 21 | 19 | 5.5 |
| BAS6 | 2336 | 2.1 | 22 | 18 | 5 |
| BAS7 | 2342 | 2.3 | 21 | 19 | 4.8 |
| ANLFA1 | 2382 | 1.7 | 18 | 22 | 6.5 |
| ANLFA2 | 2364 | 1.4 | 21 | 18 | 6.5 |
| ANLFA3 | 2356 | 1.6 | 22 | 19 | 6.5 |
| ANLFA4 | 2421 | 1.2 | 20 | 18 | 6.7 |
| ANLFA5 | 2426 | 1.9 | 20 | 17.5 | 6.5 |
Table 11 shows the slump flow read in 30-minute intervals. The measurement was conducted when the concrete was at rest i.e. the cones were filled with concrete directly after mixing then the test was measured every 30 minutes of rest. The initial slump flow was set by controlling the superplasticizer (SP) amount. As can be observed from Table 11, the response of the initial slump was slightly different depending on the amount of SP added to the mix. The trend of T500 was also different if both cements are compared.
Table 11: Slump flow and T500 for Normal-SCC
| Test code | Time (h) | 0 | 0.5 | 1 | 1.5 | 2 | 2.5 | 3 | 3.5 |
|-----------|----------|-----|-----|-----|-----|-----|-----|-----|-----|
| BAS1 | SF | 750 | 715 | 685 | 660 | 595 | 545 | 435 | 390 |
| | T500 | 1.5 | 1.5 | 2 | 2.5 | 2.5 | 2.5 | N/A | N/A |
| BAS2 | SF | 710 | 705 | 685 | 630 | 580 | 525 | 430 | 380 |
| | T500 | 1.5 | 2 | 2 | 2.5 | 2.5 | 2.5 | N/A | N/A |
| BAS3 | SF | 710 | 703 | 650 | 600 | 570 | 530 | 480 | 350 |
| | T500 | 1 | 2 | 2 | 2.5 | 2.5 | 2.5 | N/A | N/A |
| BAS4 | SF | 703 | 701 | 697 | 654 | 615 | 535 | 491 | 415 |
| | T500 | 2 | 2 | 2 | 2.5 | 2.5 | 3 | N/A | N/A |
| BAS5 | SF | 615 | 575 | 510 | 420 | 380 | 215 | N/A | N/A |
| | T500 | 1.5 | 2 | 2 | N/A | N/A | N/A | N/A | N/A |
| BAS6 | SF | 530 | 525 | 510 | 480 | 410 | N/A | N/A | N/A |
| | T500 | 1.5 | 1.5 | 2 | N/A | N/A | N/A | N/A | N/A |
| BAS7 | SF | 440 | 436 | 420 | 394 | 210 | N/A | N/A | N/A |
| | T500 | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
| ANLFA1 | SF | 710 | 700 | 680 | 655 | 600 | 587 | 525 | 445 |
| | T500 | 1.5 | 2 | 2 | 2.5 | 3 | 3.5 | 4 | N/A |
| ANLFA2 | SF | 750 | 710 | 700 | 680 | 575 | 523 | 480 | 395 |
| | T500 | 2 | 2 | 2.5 | 2.5 | 3 | 3.5 | N/A | N/A |
| ANLFA3 | SF | 720 | 700 | 681 | 630 | 550 | 515 | 465 | 410 |
| | T500 | 1.5 | 2 | 2 | 2.5 | 3 | 4 | N/A | N/A |
| ANLFA4 | SF | 610 | 588 | 502 | 481 | 423 | 392 | 254 | 225 |
| | T500 | 2.7 | 3 | 3.5 | N/A | N/A | N/A | N/A | N/A |
| ANLFA5 | SF | 510 | 498 | 481 | 437 | 382 | 321 | N/A | N/A |
| | T500 | 2.5 | N/A | N/A | N/A | N/A | N/A | N/A | N/A |
Remark: All slump flow (SF) is given in mm, and T500 is given in sec.
Figure 12 shows an example of the initial slump flow for mixes BAS1 and ANLFA1. The initial slump flow was higher for BAS1, but then the reduction of workability after two hours of casting was faster than for the ANLFA1 mix.
Figure 12: Slump flow trend for BAS1 and ANLFA1
The data obtained from the portable vane test are included in the mathematical models developed by Khayat et al. (2009); specifically, the PV\textsubscript{rest@15min@T} denotes the static yield stress after 15 min of rest. As it can be noted from Table 12, the static yield stress at 15 minutes
varies insignificantly due to the fixed percentage of aggregate. The more workable the concrete was, the lower was the static yield stress, which also determined the concrete's structural buildup rate.
Table 12: Static yield stress at different times of rest $PVT_{rest}$ (Gamil et al., 2023b)
| Test code | Time (minutes) | PV$T_{rest}$ (Pa) |
|-----------|----------------|-------------------|
| | 0 | 15 | 30 | 45 | 60 |
| BAS1 | 575.27 | 610.86 | 1174.27 | 1292.88 | 1369.98 |
| BAS2 | 622.72 | 705.75 | 1286.95 | 1369.98 | 1441.15 |
| BAS3 | 658.30 | 735.40 | 1174.27 | 1429.29 | 1559.76 |
| BAS4 | 515.97 | 616.79 | 1061.59 | 1275.09 | 1369.98 |
| BAS5 | 800.64 | 942.97 | 1464.87 | 1607.21 | 1856.30 |
| BAS6 | 913.32 | 1168.34 | 1737.68 | 1607.21 | 2301.10 |
| BAS7 | 1381.84 | 1725.82 | 1915.60 | 2467.15 | 3398.27 |
| ANLFA1 | 616.79 | 806.57 | 1192.06 | 1464.87 | 1571.62 |
| ANLFA2 | 462.59 | 563.41 | 1156.48 | 1263.23 | 1369.98 |
| ANLFA3 | 545.62 | 604.93 | 942.97 | 1168.34 | 1292.88 |
| ANLFA4 | 670.16 | 848.08 | 1269.16 | 1986.77 | 2751.83 |
| ANLFA5 | 836.22 | 1085.31 | 1642.79 | 2241.79 | 3244.07 |
The results in Table 13 showed that a higher amount of slag enhanced the workability of concrete. The setting time was longer for concretes containing a high amount of slag.
Table 13: Fresh properties for Slag-SCC
| Parameters | M1-control | M1-12.5% | M1-25% | M1-50% | M1-75% |
|------------------|------------|----------|--------|--------|--------|
| Initial slump flow (mm) | 710 | 580 | 650 | 670 | 670 |
| T500 (sec) | 1.5 | 1.5 | 2 | 1.5 | 2 |
| Fresh density (kg/m3) | 2382 | 2376 | 2367 | 2354 | 2312 |
| Air content (%) | 1.7 | 1.6 | 0.9 | 0.9 | 0.7 |
| Setting time (h) | 6.5 | 7.5 | 8 | 8 | 8.5 |
4.2 Pressure Monitoring
The pressure was monitored during casting using the pressure system described in part 3. The measurement was done in one-minute intervals. Figure 13 shows the pressure monitoring for SCC with slump flow between 700 and 750 and different casting rates. As is observed from Figure 13-a, the pressure reading from sensor 1, located at the bottom of the formwork, started to decrease after three hours. The second sensor, which was positioned 0.5 m from the bottom, measured an increase every time a new batch of concrete was supplied, while the bottom layer of concrete started to form a structural bond and began to support itself. As observed from the pressure decline displayed by sensor 1, the overall pressure gradually decay over time. The results showed that the form pressure depends on the casting rate; a higher casting rate increases pressure.
Figure 13: (a-d) Real-time pressure monitoring for SCC with different casting rates with fixed initial slump between 700-750 mm (Gamil et al., 2023b)
Figure 14 a-c shows the pressure monitoring for SCC with different slump flows and fixed casting rates of 0.5 m/h. The pressure trend for sensor 1 is rather similar. However, a change is observed with other sensors 2, 3 and 4. This signifies that workability influences the pressure for older concrete and has a higher effect on the pressure reduction trend. It is important to report that, the detection of the sensor to pressure is susceptible to technical issues as it can be seen from Figures 14b and c. The bottom sensor detected that the casting was done after 40 minutes, but the second sensor indicated a filling after 60 minutes. Then it showed that there were extra fillings after 90 minutes. This has not affected the detection of maximum pressure, but it is indicative of the necessary calibration of the sensors.
Figure 14: (a- c) Real time pressure monitoring for different slump and fixed casting rate 0.5 m/h, BAS (Gamil et al., 2023b)
Figure 15 shows the results for SCC containing ANLFA cement and different casting rates. The slump flow was maintained between 700 and 750 mm. The results indicate a similar trend as for the SCC cast with BAS cement.
Figure 15: (a-c) Real-time pressure monitoring for SCC with different casting rates with fixed initial slump between 700-750 mm, ANLFA (Gamil et al., 2023b).
Figure 16 shows the pressure data for concrete containing ANLFA with different workability levels and a fixed casting rate of 0.5 m/h; the results show that high workability concrete results in higher pressure.
Figure 16: (a-b) Real-time pressure monitoring for SCC with fixed casting rate and different initial slump flow, ANLFA (Gamil et al., 2023b)
Following the completion of normal SCC casting, the second part evaluated the pressure for SCC containing different amounts of GGBFS. Figure 17a shows the pressure developed for SCC containing 12.5% of GGBFS. When a new batch of concrete was poured, the pressure started to decrease after 120 minutes, indicating that there were not enough structural buildup bonds between the constituents of the concrete. However, after the fourth hour of casting, the pressure stayed the same even though a new concrete batch was cast. This indicated that the concrete had gained the ability to support itself, and the pressure started to decrease. This information was obtained from sensor 1, located at the bottom of the formwork. Figure 17-b shows the pressures for SCC with 25% GGBFS (M-1.25%). The concrete's flowability and setting time affected the pressure even after four hours of casting. Because of this, M-25% was more flowable than M-12.5%, but the setting time was roughly equal. The maximum values were also marginally lower, which could be related to the density of fresh concrete. Figure 17-c shows the pressure readings for SCC with 50% of GGBFS. The results showed that there was still a significant pressure increase five hours after casting. The M-50% mix tended to flow more smoothly than the M-25% mix, although the setting time was nearly the same. The maximum pressure was higher. Figure 17-d shows the results for SCC with a 75% slag. The findings demonstrated that, even six hours after casting, there is a noticeable rise in pressure.
Figure 17: Form pressure during casting for SCC containing different percentages of GGBFS and fixed casting rate of 0.25m/h.
4.3 Hydrostatic Pressure and Actual Pressure
Form pressure for normal-SCC is often designed assuming as hydrostatic pressure. This can be computed by multiplying the height of the formwork (m) by the density of fresh concrete (kg/m$^3$) and the gravitational acceleration (m/s$^2$). As discussed in the literature, the actual pressure exerted by SCC is less than the hydrostatic pressure, especially when the casting rate is slow. To demonstrate that, Figure 18 compares both pressures for casting SCC with different casting rates while maintaining the range of slump flow at 700 to 750 mm. The maximum pressure detected by the sensors is reported in Figure 18.
Figure 18: Pressure vs the height of casting for different casting rates for normal-SCC and 700-750 mm slump flow (BAS) (Gamil et al., 2023b)
The results demonstrate the responses from the sensors for selected measurements over the form’s height vs the hydrostatic pressure. The hydrostatic pressure is computed using $P_{\text{hydro}} = \rho g h$, where $\rho$ is the fresh concrete density, $h$ is the height of the form, and $g$ is the gravitational acceleration. The results showed that the actual pressure is significantly lower than the hydrostatic pressure.
Figure 19: Pressure vs height for SCC with different slump flow and fixed casting rate 0.5 m/h, cement type BAS (Gamil et al., 2023b)
Figure 20: (a-c) Pressure vs height for SCC with fixed slump flow and different casting rates, cement type ANLFA (Gamil et al., 2023b)
Figure 21: Pressure vs casting height of casting for SCC with different slump flow and fixed casting rate of 0.5 m/h, cement type ANLFA.
For SCC with slag, the actual pressure is compared with the hydrostatic pressure in Figure 22; the results show that the actual measured pressure was lower than the hydrostatic pressure. This is related to the ongoing hydration of Portland cement which resulted in early bond formation and the building up of a rigid skeleton that lowered the formwork pressure, (Wang et al., 2020).
Figure 22: Hydrostatic pressure vs form pressure for different mixes of slag-SCC for 0.25 m/h.
4.4 The Impact of Different Parameters on The Formwork Pressure
Figure 23 shows the effect of different casting rates. A higher casting rate resulted in a higher form pressure. Similar results were observed by others, Omran et al. (2012). It can be related to too short time provided for the hydration processes to develop a sufficient number of phases that could create a stiff matrix.
Figure 23: The effect of casting rate on form pressure (Gamil et al., 2023a)
Figure 24 shows the relationship between slump flow and form pressure. Even when the casting level was close to the top of the form, the pressure remained high when the initial slump flow was high. Matar et al. (2017) reported similar results. Pressure reduction, which is induced by the concrete’s thixotropy and/or structural buildup over time, could be indicated as the main cause. Concrete that hardens more quickly begins to exert less pressure at the bottom layers.
Figure 24: Effect of initial slump flow on pressure for 0.5 m/h casting rate (Gamil et al., 2023a)
A comparison between BAS and ANLFA types of cement using data from the bottom sensor for 0.25 m/h casting rate illustrates how the used cement types affect the pressure, Figure 25. The pressure measured by the sensor installed at the bottom of the form showed 13.14 kPa for ANLFA and 12.0 kPa for BAS. These results could be directly linked with a shorter setting time of the BAS cement of 150 minutes vs 170 minutes measured for the ANLFA cement.
Figure 25: Effect of different types of cement on form pressure (Gamil et al., 2023a)
Figure 26 illustrates how varying concrete densities affect pressure while maintaining a constant casting rate for both. The results demonstrated that increased density leads to an increased form pressure. The difference in density is small which is the reason the pressure difference is not large, and further studies are needed to observe more variations of the fresh concrete density.
Figure 26: Effect of fresh concrete density on form pressure (Gamil et al., 2023a)
Figure 27 illustrates how varying air content affects form pressure while keeping the same casting rate and cement type. The results showed that more air content causes early low-form pressure in freshly mixed concrete; however, this effect weakens as the concrete hardens. More studies are needed since the difference in air content was too small.
Figure 27: The effect of different air content on pressure (Gamil et al., 2023a)
Figure 28 illustrates how the amount of form pressure varies with ambient temperature. The results were inconsistent, and more tests need to be done with higher temperature differences to assess the effect of this factor.
Figure 28: Effect of ambient temperature on form pressure (Gamil et al., 2023a)
The results in Figure 29 show that a longer setting time increases pressure, and the variations of setting time are limited; hence, more in-depth study is needed with varying cement types to result in different setting times for better observations.
Figure 29: The effect of concrete setting time on pressure (Gamil et al., 2023a)
Understanding the impact of concrete viscosity also depends on the static yield stress at 15 minutes and that is demonstrated by Khayat et al (2009), where higher viscosity results in lower form pressure. Figure 30 shows that more yield stress of concrete at 15 minutes leads to lower pressure which is consistent with the past findings by Khayat et al (2009).
Figure 30: Effect of static yield stress at 15 min on form pressure (Gamil et al., 2023a)
The formwork pressure for concrete containing GGBFS depends on its properties and on the concrete mix design, Figure 31. In general, GGBFS can replace a portion of Portland cement in a concrete mix. This may lead to better workability and reduced hydration heat (Xiang, He, Liu,
As can be observed from Figure 31, The pressure reduction tended to be slower with higher additions of GGBFS.
Figure 31: The effect of different slag additions on the form pressure.
5 Modelling formwork pressure for SCC
5.1 Assessment of Theoretical Modeling
The first assessed model was DIN18218, equation 1.
\[
\sigma_{hk,max} = (1 + 0.26 \ v * t_E) * \gamma_c \geq 30 \ kPa
\]
(1)
This model is limited to the pressure that is higher or equal to 30 kPa where \(t_E\) is obtained using the Vicat needle test where \(t_E\) is valid from 5 to 20 hours, \(v\) is the casting rate, and \(\gamma_c\) is the unit weight of fresh concrete in kN/m\(^3\). The pressure is then calculated using equation 2.
\[
\sigma_{hk,max} = h_s * \gamma_c
\]
(2)
The form height is greater than \(h_E = v * t_E\), where \(v\) indicates the casting rate, \(t_E\) is the setting time and \(\gamma_c\) is the unit weight of fresh concrete in kN/m\(^3\). In this case, the setting time is measured by the setting bag test.
The second assessed model was developed by Khayat et al. (2009), equation 3.
\[
P_{max} = \frac{\rho g H}{100} \left[ 98 - 3.82H + 0.63R + 11D_{min} - 0.021PV_{\tau_{rest@15min@T_1}} \right] \times f_{MSA} \times F_{wp}
\]
(3)
Where \(P_{max}\) is the maximum pressure, \(PV_{\tau_{rest@15min@T_1}}\) indicates the static yield stress after 15 min of rest obtained by the portable vane test. \(D_{min}\) is the minimum dimension of the formwork while \(f_{MSA}\) represents the correction factor for maximum size aggregate and is assumed to be 1 and can increase to 1.1 if smaller coarse aggregate is used, \(F_{wp}\) represents the effect of waiting times between successive lifts and is assumed to be not greater than 1 but can decrease to 0.9 for casting with 30 minutes rest period.
The third model was developed by Gardner et al. (2012), which is indicated by the equations 4, 5 and 6.
\[
P = wR \left( t - \frac{t^2}{2t_0} \right) \quad \text{where, } t < t_0
\]
(4)
Where, \(t_0 = t_{400} \left[ \frac{\text{initial slump flow}}{\text{initial slump flow} - 400mm} \right]\)
(5)
\[
P_{max} = \frac{wRt_0}{2} \quad \text{where, } t > t_0
\]
(6)
The model assumed the pressure to be stable and constant if \(t > t_0\) and the maximum pressure is observed at \(t = t_0\) where \(w = \text{unit weight of concrete (kN/m}^3\)), \(t_h = \text{height of the form}\). \(R\) is the casting rate, T400 is used T400 is used to assess the flow velocity of SCC, it is the time required to reach 400 mm flow diameter. The next studied model was developed by Teixeira et al. (2017) which is based on regression, equations 7 and 8:
\[
P_{max} = KyH
\]
(7)
\[ K = K_R K_a K_H K_T K_d K_c K_{st} \]
(8)
The parameters represent different elements where \( K \) is a coefficient, \( K_R \) is a coefficient for casting rate, \( K_a \) is a coefficient for the slump flow, \( K_H \) is the formwork height coefficient, \( K_T \) is the concrete temperature coefficient, the minimum dimension of the form cross-section is represented by \( K_d \) which \( K_c \) is the cement type correction coefficient, \( K_{st} \) is the correction by the form cross section coefficient.
Another model was developed by Beitzel (2010), which was based on the silo theory of Janssen, equations 9 and 10.
\[
\sigma_h = \sigma_v - \frac{2c_{thlx} * H}{v}
\]
(9)
\[
\sigma_v = \rho g H - \frac{c_{thlx} H^2}{vd}
\]
(10)
The coefficient \( C_{thlx} \) represents the structural build-up (Pa/s) between 0.1 and 0.5 Pa/s, while \( v \) is the casting rate, \( d \) is the formwork width (m), and \( H \) is the form height.
Likewise, Ovarlez and Roussel (2006) implemented the silo theory of Janssen; however, this model stressed the friction of the wall, static yield stress at the maximum point, equation 11.
\[
P_{max} = \rho g H - \frac{H^2 A_{thlx}}{eR}
\]
(11)
The fresh concrete density is denoted by \( \rho \), the gravitational acceleration is \( g \) which is 9.81 m/s\(^2\), while \( H \) is the formwork height (m), the static yield stress is \( A_{thlx} \) (Pa/s), \( e \) is the form thickness (m), and \( R \) is the casting rate (m/h).
Similarly, Proske (2010) used the silo theory of Janssen and focused on the reinforcement and friction between concrete constituents. The average pressure is obtained using the equation 12.
\[
P_{max} = max P(t)
\]
(12)
While the pressure design value is estimated equation 13.
\[
available P_{max} = \left( R . \frac{t_E}{10} \right)^{(0.72 + 0.178 \arctan(D_{min}))} . \arctan((D_{min} . 12)^{0.45}) . 2.37 \gamma_c
\]
(13)
Where \( P_{max} \) denotes the maximum pressure, \( R \) represents the casting rate, \( t_E \) is the setting time, \( D_{min} \) is the minimum dimension of the formwork, \( \gamma_c \) is the fresh concrete density.
Mixes BAS1, BAS2, BAS3, and BAS4 were used to compare these models. A comparison between the estimation made with the DIN18218 model and the laboratory-acquired data is presented in Figure 32. For every casting rate, the same type of cement was used, and the same workability was maintained. The results showed a slightly deviated prediction of the DIN 18218 model at low casting rates. The model's response approaches hydrostatic pressure at casting rates greater than 1 m/h for a 2 m high form. The setting time is set as a determining parameter.
to specify when the concrete reaches self-carrying capacity. The present results showed that particularly at casting rates of 1 m/h and higher, the casting time for the laboratory columns was shorter than the maximum setting time determined by the bag test.
Figure 32: DIN 18218 (2010) estimation vs. laboratory results (Gamil et al., 2023b)
The second model studied was developed by Khayat et al. (2009). The real data collected from the sensors were compared with the outcomes calculated by the mathematical model. The thixotropic effect on the form pressure has little impact on the model estimations when the form height is as low as 0.5 m for a low casting rate. The model now clearly shows how thixotropy influences the pressure, resulting in form pressure that is lower than hydrostatic pressure when casting with SCC.
The model developed by Gardner et al. (2012) signifies the importance of the casting rate and the loss of workability when the slump flow drops to 400 mm. This corresponds to the time when the concrete starts to harden and lose its fluidity. The model produced a good prediction, Figure 34. In summary, Gardner et al. (2012) model yielded a form pressure primarily established for a high casting rate, like a hydrostatic pressure. Additionally, the form pressure decreases when the filling height in the upper layer increases. More consideration is given to the effect of thixotropy on form pressure in the mathematical model created by Gardner et al. (2012) than in the models created by Ovarlez and Roussel (2006) and Beitzel (2010). This model shows that even small variations in casting rate can result in a sudden increase in pressure when the concrete does not form a rigid structure quickly enough.
Figure 34: Pressure estimation using Gardner et al. (2012) vs. actual sensor-recorded data (Gamil et al., 2023b).
The regression model developed by Teixeira et al. (2017) assumed that the form pressure will never exceed hydrostatic distribution. The analysis showed that this model tends to underestimate the pressure for both low and high casting rates, Figure 35.
Figure 35: Pressure estimation using Teixeira et al. (2017) vs. laboratory data (Gamil et al., 2023b)
The Beitzel (2010) model approximates the increase in casting rate, for example, 4 m/h, as shown in Figure 36. The impact of structural building requires further study extension to consider the structural buildup of concrete.
Figure 36: Pressure estimation using Beitzel (2010) model vs. actual sensor recorded data (Gamil et al., 2023b).
The following model was developed by Ovarlez and Roussel (2006). The pressure prediction vs. the laboratory data is shown in Figure 37. This model is like Beitzel's (2010) model and is based on Jansen's silo theory. Both models predict slower decays of the formwork pressure in cases where the concrete develops its structure more slowly.
Figure 37: Ovarlez and Roussel (2006) model vs. actual sensor-recorded data (Gamil et al., 2023b)
The model Proske (2010) underestimates the form pressure for a low casting rate. For example, the maximum calculated value by Proske was 8.12 kPa for 0.25 m/h casting rate while the maximum pressure recorded by the sensor was 10.6 kPa, Figure 38. However, for a higher casting rate of 0.5 m/h, the model predicted a maximum pressure of 38.31 kPa, while the sensor recorded 37.6 kPa. For 1 and 4 m/h casting rates, the value estimated by the Proske model was much higher than the hydrostatic pressure.
Figure 38: Pressure estimation using Proske (2010) vs. actual sensor recorded data (Gamil et al., 2023b).
The models have been assessed against the laboratory data, and the following key findings are described in this section:
i. The results demonstrated that prediction models' outcomes differ because of the input factors that each model considered during the establishment of the models.
ii. The DIN 18281 model is more accurate at forecasting the pressure for longer casting times, i.e., large structural elements, and is useful for lower casting rates. The casting rate is considered the primary input parameter.
iii. The yield stress $P_{V_{\text{rest}}}$ value at 15 minutes, which represents the structural build-up of concrete at rest, is the foundation of the pressure model established by Khayat et al. (2009). Although the model considers the implications of time-dependent variations in the thixotropic behavior of concrete, it also produced a less conservative design as casting rates increased compared to actual laboratory data.
iv. When casting rates are low, pressure estimates based on Gardner et al. (2012) model are close to the trend obtained from laboratory experiments; however, when casting rates are high, variations are observed, and the model demonstrates that the pressure response is hydrostatic. The same trend was observed when using Proske's (2010) model.
v. Teixeira et al. (2017) regression model underestimated the pressure and produced results substantially lower than the pressure measured in the laboratory.
vi. Beitzel's (2010) model assumes the height of the form as the primary input parameter. It indicated that the pressure does not decrease below the maximum pressure which means that when the pressure reaches a maximum then the trend remains the same.
Ovarlez and Roussel's (2006) model showed a close approximation with the laboratory measurements. The model considered height and structural build-up, which explains why the pressure exerted by the old cast layer pressure at the bottom was reduced.
Generally, input parameters significantly impact models' accuracy, and more data is needed to develop a more reliable predictive model by employing for example more advanced methods, such as machine learning.
5.2 Formwork Pressure Prediction Modelling for SCC
The process implemented to develop the prediction model has been discussed in the methodology section. The actual time series data obtained every one minute from the laboratory experiments were used to create the model. Machine learning frameworks were adopted to model the form of pressure behavior based on the data acquired from the laboratory, and these are compared with the theoretical models studied in the literature. As described, the model selection that fits the research problem is important and depends on the data type and size. In this step, two approaches were used, which are shallow neural networks (SNN) and deep neural networks (DNN) using Long Short-Term Memory (LSTM). These two approaches suit the type of time series data that was recorded during the experimental tests (Gamil, Nilimaa, Najeh, & Cwirzen, 2023c).
Before developing the model, observing the correlations between the input parameters that affect the pressure trend is a prerequisite. The prevalent effects of slump flow and casting rate were considered as the most important input parameters. The matrix was developed using Excel to assess the relationship between various data sets representing the parameters; the threshold of the results, any correlation coefficient equal to 1, pertains to a strong relationship while 0 is neutral and -1 shows a weak relationship. The matrix shown in Figure 39 indicates a strong relationship between the casting rate and the maximum pressure, which is 0.42. Hence, the casting rate has more impact on the form pressure. Meanwhile, the slump flow shows a minimal effect compared to the casting rate. The diagonal is equal to 1, indicating that each variable is perfectly correlated.
Figure 39: Correlation matrix between input and output parameters (Gamil, Nilimaa, Najeh, & Cwirzen, 2023c).
5.3 Modelling Form Pressure Prediction Using Shallow Neural Network
A shallow neural network (SNN) is a neural network that can fit the time series type of data. It is used to forecast the form pressure as a function of casting rate and slump flow. The other parameters were assumed to be constant to develop the model. The SNN framework considers several multilayers of artificial neural networks (ANN), requiring primary classifiers known as perceptron, which can take the inputs and outputs from linear equations underpinning the framework. This is demonstrated in Figure 40, which shows a multiple perceptron of three layers, one of which is hidden.
\[
y = w_1 x_1 + w_2 x_2 + w_3 x_3
\]
Figure 40: A perceptron model for constructing the ANN (Gamil, Nilimaa, Najeh, & Cwirzen, 2023c)
An activation function is necessary to be used as a decision-making tool to determine whether the neuron should be activated by backend calculations of the weighted sum, and it is also used to introduce non-linearity into the output of the neuron Figure 41. As demonstrated in Figure 41, three, the input layer \(a_i^{input}\) refers to the \(i^{th}\) value, and \(a_i\) Hidden classifies the \(i^{th}\) unit in the hidden layer. Meanwhile, in the output layer, the \(i^{th}\) activation unit is devoted to as about. The weight coefficient from layer \(l\) to layer \(l+1\) is characterized by \(w_{k,j}\) network, and needs tuning.
Figure 41: Decision making activation function (Gamil, Nilimaa, Najeh, & Cwirzen, 2023c)
In the MLP, the first step is called Forward Propagation (FP). Equations (14) and (15) were used to calculate the activation unit \(a_l(h)\) in the hidden layer:
\[
Z_1^{(h)} = a_0^{(ln)} w_{0,1}^{(h)} + a_1^{(ln)} w_{1,1}^{(h)} + \ldots + a_m^{(ln)} w_{m,1}^{(h)}
\]
(14)
\[
a_{01}^{(h)} = \emptyset(Z_1^{(h)})
\]
(15)
This project aimed to create a model that can predict maximum pressure for any predetermined combination of casting rate and slump flow over time. All data were collected randomly into a single list to have the right input and output combination for each period. Figure 42 shows 50% of the data from eight laboratory experimental tests. In each configuration, 480 maximum pressure values were measured during the first 8 hours after casting and every 60 seconds after that.
Figure 42: maximum pressure variations for learning data (Gamil, Nilimaa, Najeh, & Cwirzen, 2023c)
Before modelling using MLP, a basic visualization process was performed to ensure that the data was evenly distributed before input into the model. The maximum pressure measured was uniformly distributed and varied between 0 and 40 kPa, (Figure 43).
Referring to the SNN, the model was first fed with the laboratory's slump flow, casting rate, and time stamp data. Only one hidden layer and one output were used: the pressure. The dataset was separated into 3 parts: 50, 30 and 20%, in which 50% was used to develop the model, 30% of the data was used to validate the model, and 20% was used to test the model. Several default parameters are looked at when developing the model, as demonstrated in Table 14.
Table 14 : Default model parameters (Gamil, Nilimaa, Najeh, & Cwirzen, 2023c)
| Hyperparameter | Value/approach |
|----------------------|---------------------------------|
| Activation function | Tan-Sigmoid |
| Learning method | Levenberg-Marquardt backpropagation |
| Number of iterations | 54 |
| Number of epochs | 1000 |
| Batch size | 35 |
| Performance measure | Mean Square Error (MSE) |
| Learning rate | 0.05 |
The Root Mean Square error (RMSE) is used and calculated using Equation 16 to ensure the model's accuracy.
\[
RMSE = \sqrt{\frac{\sum_{i=1}^{N}(P_{max}^{\text{predicted}}_i - P_{max}^{\text{Actual}}_i)^2}{N}}
\]
(16)
Where:
RMSE is Root Mean Squared Error and Pmax is the maximum pressure.
The model performance is also checked with RMSE which is demonstrated in Table 15. RMSE is an indicator of the model performance, which helps to measure the mean difference between the predicted value by the developed model and the actual values obtained from the laboratory.
Table 15: independent steps for model validation (Gamil, Nilimaa, Najeh, & Cwirzen, 2023c)
| Number of hidden Neurons | RMSE Training data | RMSE Validation data |
|--------------------------|--------------------|----------------------|
| 10 | 3.63 | 3.47 |
| 20 | 3.03 | 3.16 |
| 30 | 3.03 | 3.2 |
| 40 | 3.39 | 3.62 |
| 50 | 3.34 | 3.13 |
| 60 | 3.42 | 4.47 |
| 70 | 3.37 | 4.45 |
The orange and blue curves represent the RMSE values for different choices of neurons in the hidden layer, Figure 44. The orange curve corresponds to the learning data, while the blue curve corresponds to the validation data. In this case, it is complex to accurately interpolate the relationship between casting rate, slump flow, and maximum pressure. On the other hand, if there are fewer neurons, the model becomes overfitted, leading to a lower accuracy in the validation phase. It fits the learning data well but needs to generalize the relationship. The best accuracy for the shallow MLP neural network was achieved with 38 neurons in the hidden layer. This architecture provides the lowest RMSE and the best fit that captures the overall behavior of the data. The final accuracy of the MLP shallow neuron network model for the training and testing data was 2.92% and 2.94%, respectively.
Figure 44: RMSE as a function of the number of neurons (Gamil, Nilimaa, Najeh, & Cwirzen, 2023c)
Figure 45 shows the results of predicted maximum form pressure and real pressure acquired from the laboratory tests. The results showed that SNN can accurately predict the pressure while maintaining relatively closed estimations, which can be used to design the form pressure.
5.4 Form Pressure Prediction Using LSTM
Long short-term memory (LSTM) is a learning model that can handle long time series data and is used to forecast parameters based on learned time series patterns and make predictions on future parameters. It is used in this project to forecast the form pressure. The LSTM process expressed mathematically is presented in equations 17 to 22.
\[
c_t = f_t \otimes c_{t-1} + i_t \otimes \tilde{c}_t \\
h_t = o_t \otimes \tanh(c_t)
\]
Where \(f_t = \sigma(W_{fh} h^{t-1} + W_{fx} x^t + b_f)\)
\[
i_t = \sigma(W_{ih} h^{t-1} + W_{ix} x^t + b_i)
\]
\[
c_t = \tanh(W_{ch} h^{t-1} + W_{cx} x^t + b_c)
\]
\[
o_t = \sigma(W_{oh} h^{t-1} + W_{ox} x^t + b_o)
\]
The weights for the forget gate, input gate, input modulation, and output gate are \(W_{fh}, W_{fx}, W_{ih}, W_{ix}, W_{ch}, W_{cx}, W_{oh},\) and \(W_{ox}\), respectively. The base matrices are \(b_f, b_i, b_o,\) and \(b_c,\) and they are not time-dependent, which indicates they do not update from one time step to the next. The input and output flow of an LSTM for a single timestep is shown in Figure 46. Each LSTM cell has an input \(x_t, h_{t-1},\) and \(c_{t-1},\) which are the inputs from the previous timestep LSTM. *It does not show the LSTM cell output for the current time step.* The LSTM also produces the \(c_t\) and \(h_t\) for feeding the next time step of LSTM. Based on the input \(x,\) internal state \(c,\) and hidden state \(h,\) the internal gates will calculate how much data can be updated into the hidden state \(h\) and the cell state \(c.\) The LSTM cell can identify new patterns and features.
The data in this project was handled as a time series input for the artificial neural network (ANN). Unlike the previous model, this one solely utilized the pressure variable as an input. Another difference was that each setup containing 480 pressure reading numbers was handled independently rather than having the data combined into a single list. The objective was to use the LSTM network to forecast time series data. Six setups obtained from the experiments were used to build the model, with two additional setups serving as test data.
The proposed approach trains an LSTM network to predict the maximum pressure of the next minute by adjusting pressure readings by one minute step. The LSTM network updates its state, storing previous data from each time step. This research uses open-loop pressure forecasting based on past data for time series data. Cross-validation is often suggested in machine learning algorithms but can lead to overfitting and a lack of generalization. Cross-validation is necessary for models with limited training data and uncertain generalizability. A research test rig allows for more control over scenarios and allows for more data collection, ensuring the model's generalizability. The system predicts maximum pressure using previous readings from time steps 1 through $t_1$, then waits for a new sensor reading for time step $t+1$, normalizing predictors and targets with zero mean values and unit variance. The normalized pressure was calculated based on the mean value ($\mu$) and standard deviation ($\sigma$) as shown in equation (23):
$$P_{max_{normalized}} = \frac{P_{max} - \mu}{\sigma} \quad (23)$$
The LSTM regression network architecture was defined, using a sequence input layer with one neuron and 128 hidden units. The number of hidden units determined the learning capacity. A fully connected layer with output size matching input data was used, and a regression layer was added to the final network. It is important to set the parameters in LSTM models, including epochs and initial learning rate, for training performance. The learning rate was fixed at 0.001, with 80% for learning and 20% for testing. The model took 73 seconds to learn and 4 seconds to infer using pressure data. The formulation shown in equation (24) was used to assess the model's performance.
$$Accuracy = \frac{\sum(Level_{pred} == Level_{test})}{Number \ of \ test \ sequences} \quad (24)$$
The proposed open-loop prediction approach aims to predict the next maximum pressure during the casting process, using one minute as a proof of concept. True pressure readings are collected from sensors, and the model is initialized using the first readings and updated with actual previous readings. Validation is performed using the Accuracy performance metric for different setups (Table 16).
Table 16: accuracy performance indicators (Gamil, Nilimaa, Najeh, & Cwirzen, 2023c)
| # Setup (tests variations) | Accuracy (%) |
|---------------------------|--------------|
| 1 | 96.82 |
| 2 | 90.34 |
| 3 | 86.55 |
| 4 | 93.60 |
| 5 | 91.63 |
| 6 | 88.73 |
| 7 | 94.48 |
| 8 | 88.72 |
The LSTM model achieved an average accuracy of 92.06% for learning data 94.48%, and 88.72% for prediction using test data from setup 7 and setup 8. The negative pressure shown in the figure is neglected because the first run starts below zero.
Figure 47: Open-loop maximum pressure forecasting and example of setup 7 (Gamil, Nilimaa, Najeh, & Cwirzen, 2023c)
Figure 48: Open-loop maximum pressure forecasting and example of setup 8 (Gamil, Nilimaa, Najeh, & Cwirzen, 2023c)
The maximum pressure predicted by LSTM followed the trend of the actual maximum pressure recorded in the laboratory. This indicates that the model has attained a high degree of accuracy. When casting self-compacting concrete, the model is deemed reliable for pressure prediction when slump flow and casting rate are considered the primary input factors.
5.5 Modeling Formwork Pressure for GGBFS-SCC
Applying the same machine learning approach with an LSTM framework. A forecasting model for GGBFS-SCC during and after casting was developed using data from the laboratory for SCC with varying amounts of GGBFS. The developed models have demonstrated accurate
pressure forecasting during casting and post-casting pressure. The model can generate a very close forecast trend compared to actual laboratory results. Additionally, the model can show the trend of pressure decrease. Like the previous model, LSTM was used to forecast the pressure during and after casting by recurrent neural networks (RNNs) loop across time steps to process input data and update the RNN state. An LSTM network is one type of RNN. Information retained during the preceding time steps is contained in the RNN state. The LSTM framework can be used for two types of forecasting: closed-loop and open-loop forecasting. The first method is used to predict the pressure during casting, and the second to forecast the pressure after casting.
**Prediction of formwork pressure during casting**
Figure 49 shows solely the data gathered during the casting phase to anticipate the subsequent time step in a sequence utilizing the LSTM open loop approach. The RNN model uses the true pressure values obtained from the sensors as input for generating predictions for the next minute or subsequent time steps. For instance, the data gathered in time step 1 are used through t-1 to predict the pressure for time step t of a sequence. The true pressure value for time step t is then used as input to construct the subsequent forecast to create predictions for time step t+1. This approach uses open loop forecasting under the presumption that it is possible to measure the true values from the past and feed them to the RNN before the next prediction. Provide the targets as training sequences with pressure altered by a single time step to predict the pressure of upcoming time steps of a sequence. Stated differently, the LSTM neural network learns to predict the pressure value of the subsequent time step at each time step of the input sequence. The model showed accurate prediction and can be used to predict the next t+1 during concrete casting.
The results of pressure prediction during concrete casting are displayed in Figures 49 and 50. The dashed lines show the LSTM prediction, and the solid line shows the actual pressure determined from sensor readings. It demonstrates that the predicted trend is precise and tracks the actual pressure trend.
Prediction of formwork pressure post concrete casting
For the case of post-concrete casting, LSTM with closed-loop forecasting is applied similarly to the previous models. The primary goal is to predict the pressure after the casting process using actual data collected during the casting phase and last predicted values. The use of closedLoop forecasting is predicated on the theory that pressure is not measured following casting and that the RNN cannot obtain the actual pressure values before generating the subsequent prediction. The previous predicted value is iteratively passed to the RNN to forecast the following 960 minutes (8 hours). It is possible to specify any input data because the RNN does not need it to generate additional predictions and to identify any number of time steps to forecast, as demonstrated in Figures 51 and 52.
Figure 51: Prediction of formwork pressure with 50% slag after casting
Figure 52: Prediction of formwork pressure with 75% slag after casting
The form pressure forecast following casting is displayed in Figures 51 and 52. As more and more top layers are constructed during casting, the trend of data used will likely change. However, pressure tends to decrease after casting as the concrete hardens. The model provides information on pressure decrease and stability and can be used to predict the pressure trend after casting. Monitoring the trend and comparing it with the concrete setting time can provide an accurate estimate of the beginning and end of hydration.
6 CONCLUSIONS
This work introduced insights into the form pressure exerted by SCC and GGBFS-SCC characterization and modelling. The research questions raised by the project have been answered, and outcome-based methods have been disseminated. This section presents the answers to the questions, provides concluding marks, and proposes future relevant work.
6.1 Answers to the Research Questions
RQ1: What is the degree of accuracy of current theoretical models of form pressure exerted by SCC? Which design model provides a good approximation of the form pressure and its distribution over the formwork height for SCC?
Substantial research has focused on modelling SCC pressure, but the standard has yet to be accepted to be generalized except DIN18218, with a limited scope of application. The first article (Gamil et al., 2021) published from this project uncovered the findings related to pressure modelling and highlighted the research gap that required further study. The theoretical models have been assessed by comparing the pressure prediction based on the models and the pressure trend obtained from actual laboratory experiments. The input parameters required for the theoretical model have been obtained accordingly. The results showed that the prediction based on the models differs from the laboratory data, and only DIN18218 showed the pressure distribution over the form height. More details on this question are disseminated in the fourth article published from this project (Gamil et al., 2023b). In the case of Khayat et al. (2009), the model considers the structural build-up at rest; however, a less conservative design was observed compared to the laboratory data. While Gardner's (2012) model showed closer estimates to the laboratory data when the casting rate is low, when the casting rate is high, the model indicates almost hydrostatic pressure. Proske’s model observed a similar trend. Pertaining to Teixeira et al (2017) model, the trend showed low pressure compared to laboratory data. Beitzel's (2010) model, the pressure trend did not show a decrease below the maximum pressure. Finally, the Ovarlez and Roussel (2006) model demonstrated a close approximation of the pressure because the model considered the structural build-up.
RQ2: What parameters affect the form pressure, and to what extent do they impact the form pressure?
The parameters that affect the form pressure for SCC can be classified into different categories: materials properties, concrete properties, and casting method. The extent of the impact of the parameter is different, and the most effect can be related to casting rate, workability, and hardening rate. Details of each effect have been addressed in the third article published from this study (Gamil et al., 2023a). To summarize the effects of the parameters on the form pressure, the results showed that casting rate and slump flow have a greater impact on the form pressure. A faster rate and high slump flow are producing higher pressure. At the same time, higher thixotropy caused pressure to decrease rapidly. It was also found that the form pressure during casting is not significantly impacted by cement type; however, pressure reduction is affected considerably. The investigation was limited to two types of Portland cement, and more comparison with other commercial cement should be performed in the future. Regarding the concrete density, the denser the concrete, the more the pressure increases, especially in the early hours of casting. Meanwhile, the air content in concrete with a higher air content has a lower initial form pressure; this effect reduces as the concrete starts to set. It is also shown that higher pressure tends to develop at a slower setting, and a slower reduction is observed.
RQ3: How does the high amount of GGBFS affect the form of work pressure?
The results showed that the fresh concrete properties of normal SCC were affected by the addition of GGBFS, where higher amount of GGBFS results in more workable concrete, resulting in high initial form pressure and slow reduction of pressure over time due to a slower hydration. This is observed when the cement is replaced by 75% slag, and the pressure response is higher than 50%, 25% and 12.5%. Similarly, the pressure reduction was notably different, where high slag content results in a slow decrease of pressure.
RQ4: What are other alternative models that give better prediction of the form pressure for SCC?
Modelling with machine learning has shown a good approximation of the pressure since the nature of the data is a time series, which fits in modelling with machine learning. Several models have been developed using machine learning algorithms. The models have shown the possibility of predicting the next pressure with high accuracy based on the currently available data. The model can be used to predict the form pressure. Details of the modelling are addressed in detail in the fifth article published by this project (Gamil et al., 2023c). The results of the models can be used to predict pressure before casting starts that helps improve the design of form pressure and optimization of casting rate, it will also help during the schedule planning process even before the project starts.
6.2 Concluding Remarks
An important problem addressed by both the building industry and academia is the formwork pressure caused by SCC. Estimating and modelling the pressure increment and decrement have declined the urge to widely use SCC in civil engineering construction due to the expensive formwork and fear of failure if the pressure is underestimated. Properly estimating the pressure starts with understanding the characterization of materials, mix design, fresh concrete properties, and hardening properties. Documenting the pressure onsite requires automated platforms for concrete technology. The performed study showed that one of the areas with obvious deficiencies is the forecast and monitoring of formwork pressure of cast in situ SCC. A sizeable portion of the overall cost of a concrete structure is made up of the formwork. The standard method of constructing the form for SCC frequently relies on assuming hydrostatic pressure, resulting in the expensive design and occasionally leading to increased project cost and casting rate restrictions that may result in schedule overruns.
The findings showed that SCC exerts form pressure that is less than the hydrostatic pressure due to its structural buildup and thixotropic behavior, causing the pressure to decrease over time. Even with high casting rates, formwork pressures was up to 30% lower than the hydrostatic pressure. 50% lower for casting rate with 0.5 m/h and even more for the casting rate of 0.25 m/h. That gives more opportunities to speed up the casting time and reduces the need for expensive formwork designs.
It is possible to properly predict the formwork pressure during casting, according to this study. However, the measurement system, the input variables, and the models that are employed need to be accurate. The main conclusions from the study are summarized as follows:
1. Several theoretical models for form pressure have been assessed against the actual data obtained through the laboratory, it was found that the theoretical design models overestimate or underestimate the formwork pressure, which raises the costs of the project, while several models underestimate the pressure, raises dangers related to
workplace safety except for few models with restriction to casting rate worked accurately.
2. The theoretical models, except DIN18218, do not evaluate the distribution of formwork pressure along the height.
3. The partial replacement of Portland cement with GGBFS affects the response of pressure and its reduction trend; more GGBFS pertains to producing more pressure and slower reduction of the pressure over time.
4. Several machine learning frameworks were used to model the pressure by predicting the next pressure based on collective time series data. The models exhibited high accuracy when compared between predicted and actual pressure.
6.3 Future Research
Due to the limitation of time and resources, there are still areas to be addressed in the future, which include:
- Develop a unified model for maximum pressure, pressure distribution, and pressure reduction because the pressure reduction pattern over time is not modeled.
- Conduct full-scale tests to test the developed models.
- It is crucial that the used sensors can also capture the true pressure level during the hardening phase because the reliability of most sensors currently being used to monitor formwork pressure is significantly impacted by the development of the binder matrix or thixotropy of the concrete mix.
- To address ecological SCC, additional research is required on ecological SCC that incorporates different SCM types that alter the qualities of fresh concrete and early strength development.
- The form pressure in cold and hot climates has not been sufficiently studied. The structural build-up at rest has a significant impact on form pressure characteristics. The latter is influenced by temperature. The temperature of freshly cast concrete is considered by (Khayat & Omran, 2009; Khayat & Omran, 2010), but the lower limit is 10 degrees Celsius. Consequently, a lower-temperature model version should be developed to assess how temperature affects maximum pressure and pressure reduction. Developing form pressure sensors, such as simple-to-read sensors mounted on formwork is required.
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Kim, J. H., Noemi, N., & Shah, S. P. (2012). Effect of powder materials on the rheology and formwork pressure of self-consolidating concrete. *Cement and Concrete Composites, 34*(6), 746-753. doi:[https://doi.org/10.1016/j.cemconcomp.2012.02.016](https://doi.org/10.1016/j.cemconcomp.2012.02.016)
Kwon, S. H., Phung, Q. T., Park, H. Y., Kim, J. H., & Shah, S. P. (2010). *Experimental study on effect of wall friction on formwork pressure of self-consolidating concrete*. Paper presented at the 6th International RILEM Symposium on Self-Compacting Concrete and 4th North American Conference on the Design and Use of SCC, SCC.
Kwon, S. H., Phung, Q. T., Park, H. Y., Kim, J. H., & Shah, S. P. (2011). Effect of wall friction on variation of formwork pressure over time in self-consolidating concrete. *Cement and concrete research, 41*(1), 90-101. doi:[https://doi.org/10.1016/j.cemconres.2010.09.009](https://doi.org/10.1016/j.cemconres.2010.09.009)
Kwon, S. H., Shah, S. P., Phung, Q. T., Kim, J. H., & Lee, Y. (2010). Intrinsic model to predict formwork pressure. *ACI Materials Journal, 107*(1), 20.
Lange, D. A., Birch, B., Henschen, J., Liu, Y.-S., Tejeda-Dominguez, F., & Struble, L. (2008). *Modeling formwork pressure of SCC*. Paper presented at the 3rd North American Conference on the design and use of Self-compacting concrete, Chicago, USA.
Leemann, A., Hoffmann, C., & Winnefeld, F. (2006). Pressure of self-consolidating concrete on formwork. *Concrete international, 28*(2), 28-31.
Li, S., Yin, S., & Yang, W. (2021). Research on the bonding performance of TRC permanent formwork and cast-in-place concrete. *Engineering Structures, 235*, 112021. doi:10.1016/j.engstruct.2021.112021
Matar, P., & Assaad. (2017). Effect of vertical reinforcing bars on formwork pressure of SCC containing recycled aggregates. *Journal of Building Engineering, 13*, 159-168. doi:[https://doi.org/10.1016/j.jobe.2017.08.003](https://doi.org/10.1016/j.jobe.2017.08.003)
McCarthy, R., & Silfwerbrand, J. (2011). Comparison of three methods to measure formwork pressure when using SCC. *Concrete international, 33*(6), 27-32. doi:[http://kth.diva-portal.org/smash/record.jsf?pid=diva2%3A485679&dswid=-6004](http://kth.diva-portal.org/smash/record.jsf?pid=diva2%3A485679&dswid=-6004)
Mikhaltchouk, I., & Forsman, M. (2021). *Concrete Casting–Construction Engineers’ Attitudes and Knowledge About Work Environment, Risk Factors, Injuries and Self-compacting Concrete*. Paper presented at the Congress of the International Ergonomics Association.
Nilimaa, J. (2022). *Lateral form pressure induced by SCC*. Paper presented at the Nordic Concrete Research XXIV NCR Symposium 2022.
Nilimaa, J., Gamil, Y., & Zhaka, V. (2023). Formwork Engineering for Sustainable Concrete Construction. CivilEng, 4(4), 1098-1120.
Okamura, H., & Ouchi, M. (2003). Self-compacting concrete. *Journal of advanced concrete technology, 1*(1), 5-15.
Omran, Elaguab, & Khayat. (2014). Effect of placement characteristics on SCC lateral pressure variations. *Construction and Building Materials, 66*, 507-514.
Omran, & Khayat. (2017). Effect of formwork characteristics on SCC lateral pressure. *Journal of materials in civil engineering*, 29(5), 04016293. doi:10.1061/(ASCE)MT.1943-5533.0001827
Omran, Khayat, & Elaguab. (2012). Effect of SCC mixture composition on thixotropy and formwork pressure. *Journal of materials in civil engineering*, 24(7), 876-888. doi:[https://doi.org/10.1061/(ASCE)MT.1943-5533.0000463](https://doi.org/10.1061/(ASCE)MT.1943-5533.0000463)
Omran, & Khayat, K. (2014). Choice of thixotropic index to evaluate formwork pressure characteristics of self-consolidating concrete. *Cement and concrete research*, 63, 89-97. doi:10.1016/j.cemconres.2014.05.005
Omran, A. F., & Khayat, K. H. (2013). Portable pressure device to evaluate lateral formwork pressure exerted by fresh concrete. *Journal of materials in civil engineering*, 25(6), 731-740. doi:[https://doi.org/10.1061/(ASCE)MT.1943-5533.0000537](https://doi.org/10.1061/(ASCE)MT.1943-5533.0000537)
Ovarlez, G., & Roussel, N. (2006). A physical model for the prediction of lateral stress exerted by self-compacting concrete on formwork. *Materials and Structures*, 39(2), 269-279.
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Perrot, Amziane, S., Ovarlez, G., & Roussel, N. (2009). SCC formwork pressure: influence of steel rebars. *Cement and concrete research*, 39(6), 524-528.
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Proske, T., & Graubner, C.-A. (2010). Formwork pressure of highly workable concrete—experiments focused on setting, vibration and design approach. In *Design, Production and Placement of Self-Consolidating Concrete* (pp. 255-267): Springer.
Proske, T., Khayat, K. H., Omran, A., & Leitzbach, O. (2014). Form pressure generated by fresh concrete: a review about practice in formwork design. *Materials and Structures*, 47(7), 1099-1113. doi:[https://doi.org/10.1617/s11527-014-0274-y](https://doi.org/10.1617/s11527-014-0274-y)
Saleem, N., Baluch, M., Rahman, M., & Al-Osta, M. (2017). Experimental Investigations and a New Numerical Model for Evolution of Formwork Pressure in SCC. *Arabian Journal for Science and Engineering*, 42(9), 3907-3921. doi:[https://doi.org/10.1007/s13369-017-2509-z](https://doi.org/10.1007/s13369-017-2509-z)
Santilli, A., Puente, I., & Tanco, M. (2011). A factorial design study to determine the significant parameters of fresh concrete lateral pressure and initial rate of pressure decay. *Construction and Building Materials*, 25(4), 1946-1955.
Santilli, A., Teixeira, S., & Puente, I. (2015). Influence of temperature and concrete reinforcement on vertical formwork design. *Construction and Building Materials, 88*, 188-195.
Shalev-Shwartz, S., & Ben-David, S. (2014). *Understanding machine learning: From theory to algorithms*: Cambridge university press.
Song, H.-f., Cui, W., & Yan, W.-s. (2019). Analysis of tangential stress between fresh self-compacting concrete and wall based on thixotropy theory. *Construction and Building Materials, 196*, 126-133.
Teixeira, S., Puente, I., & Santilli, A. (2017). Statistical model for predicting the maximum lateral pressure exerted by self-consolidating concrete on vertical formwork. *Journal of Building Engineering, 12*, 77-86. doi:[https://doi.org/10.1016/j.jobe.2017.05.004](https://doi.org/10.1016/j.jobe.2017.05.004)
Teixeira, S., Santilli, A., & Puente, I. (2016). Analysis of casting rate for the validation of models developed to predict the maximum lateral pressure exerted by self-compacting concrete on vertical formwork. *Journal of Building Engineering, 6*, 215-224. doi:10.1016/j.jobe.2016.03.008
Thai, H.-T. (2022). *Machine learning for structural engineering: A state-of-the-art review*. Paper presented at the Structures.
Tichko, S., De Schutter, G., Troch, P., Vierendeels, J., Verhoeven, R., Lesage, K., & Cauberg, N. (2015). Influence of the viscosity of self-compacting concrete and the presence of rebars on the formwork pressure while filling bottom-up. *Engineering Structures, 101*, 698-714.
Tuyan, M., Ahari, R. S., Erdem, T. K., Çakir, Ö. A., & Ramyar, K. (2018). Influence of thixotropy determined by different test methods on formwork pressure of self-consolidating concrete. *Construction and Building Materials, 173*, 189-200.
Vanhove, Y., & Djelal, C. (2002). Formwork pressures with self-compacting concrete. *CONCRETE-LONDON-CONCRETE SOCIETY-, 36*(6), 22-23.
Walther, T. (2018). *Digital transformation of the global cement industry*. Paper presented at the 2018 IEEE-IAS/PCA Cement Industry Conference (IAS/PCA).
Wang, L., Guo, F., Lin, Y., Yang, H., & Tang, S. W. (2020). Comparison between the effects of phosphorous slag and fly ash on the CSH structure, long-term hydration heat and volume deformation of cement-based materials. *Construction and Building Materials, 250*, 118807.
Wu, W., & Li, X. (2020). Lateral Stress Characteristics of Steel Structure Wall Module Exerted by Self-Compacting Concrete. *Iranian Journal of Science and Technology, Transactions of Civil Engineering, 44*(1), 79-89.
Xiang, J., He, Y., Liu, L., Zheng, H., & Cui, X. (2020). Exothermic behavior and drying shrinkage of alkali-activated slag concrete by low temperature-preparation method. *Construction and Building Materials, 262*, 120056.
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Department of Civil, Environmental, and Natural Resources Engineering
Division of Building materials
ISSN 1402-1544
ISBN 978-91-8048-626-2 (print)
ISBN 978-91-8048-627-9 (pdf)
Luleå University of Technology 2024
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Whitepaper
ecoGenesis RF Plastics Welding Technology: Business Benefits and Applications
Genesis Plastic Welding’s proprietary RF welding technology, ecoGenesis™, is a unique asset to the plastics manufacturing industry. The technology is available through contracted manufacturing with Genesis or through private licensing.
In the following pages we examine the capabilities of ecoGenesis and outline its many business benefits, including:
- Lowered manufacturing costs
- Increased product performance
- Expanded product development
- The ability to meet more stringent regulatory standards
- Attention to increasing environmental concerns
What is ecoGenesis?
ecoGenesis is a one-of-a-kind Radio Frequency (RF) plastics welding technology that enables the joining of polymeric materials previously deemed by the industry as impossible to RF weld without the addition of expensive plasticizers or toxic additives. With this proprietary “bolt-on” technology, companies can transform nearly any existing RF machine to effectively weld polymers with dielectric constants far below the 0.02 level using existing RF tooling. This facilitates the ability to manufacture with a wider variety of raw materials other than polyvinylchloride (PVC) and polyurethane (PU).
According to OmniTech’s evaluation, a key differentiating factor of ecoGenesis to standard RF welding technology is that it “defies the industry’s traditional mathematical formulas and art that predict the success of a good RF weld.” Prior RF welding art allowed for only a few polymer films — like PVC and some polyurethane materials (TPU) — as candidates for a good RF weld.
OmniTech confirmed that films, copolymer films and fabrics with low dielectric factors (DLF) can efficiently and effectively be RF welded with ecoGenesis – without the aid of coatings, adhesives or other costly treatments. ecoGenesis allows standard, unmodified RF machines to produce consistently uniform, high quality welds that enhance the performance and environmental acceptability of products while potentially lowering manufacturing cost.
ecoGenesis technology can be used to engineer products not only from PVC and PU, but also from low-loss, low cost, phalate-free “green” polymers including the following:
| Polymer Group | Subgroup | Standard RF | ecoGenesis™ |
|-------------------------------|-----------------------------------------------|-------------|-------------|
| Polyvinylchloride | PVC | ✔ | ✔ |
| Polyurethane | PU | ✔ | ✔ |
| Polyethylene | Film, Co-extrusions, Multi-laminates, Non-wovens, Foam, Fabrics | HDPE, MDPE, LDPE, LLDPE, ULDPE, mPE (metallocene) | ✔ |
| Polypropylene | Film, Wovens, Non-wovens, Laminates | PP (homopolymer), CO-PP (copolymer), mPP | ✔ |
| Polyester | Film, Wovens, Non-wovens | PET, CO-PET | ✔ |
| Nylon | Film, Wovens, Non-wovens | NY, Co-Extruded | ✔ |
| Bioplastic | PLA, PHB, PA 11, Bio-Derived PE | | ✔ |
Visit GenesisPlasticsWelding.com or call 317.485.7887 to learn more.
How does ecoGenesis work?
ecoGenesis is a “bolt-on” modification adaptable to existing, stabilized RF machines (27.12 Mhz). Once installed, the existing machine can weld (or seal) a thermoplastic material to another material in film, foam or fabric layers — with nothing on or between them, resulting in a clean and undisturbed final structure. ecoGenesis lasts for tens of thousands of welds, without the need for replacement. Once installed, ecoGenesis consistently produces strong, uniform welds without changes to RF tooling, RF power or frequency generation.
While Genesis utilizes its plastics welding technology in contract manufacturing services, ecoGenesis also is available for licensing to qualified plastics welding manufacturers for private use.
Benefits and Capabilities
ecoGenesis allows manufacturers to meet changing market demands, address environmental concerns, potentially lower manufacturing costs and increase product performance. This technology is especially ideal for manufacturers needing to transition away from PVC or PU for ecological, financial and/or regulatory reasons.
Primary benefits include:
| Lower Manufacturing Costs | Eliminates the need for expensive heat seal additives. |
|---------------------------|------------------------------------------------------|
| | Enables the substitution of lower cost raw materials. |
| | Adaptable to existing, stabilized RF machines, thus expanding the use and life-cycle of most RF sealing equipment. |
| | Eliminates the need to invest in alternative manufacturing resources to enable welding of non-polar materials. |
| | Potentially creates a more cost competitive market position through the use of lower cost raw materials. |
| | The use of different materials may facilitate an engineering solution that decreases the manufacturing process timeline. |
| Increase product performance and improve appearance | Materials are welded together without performance-robbing, heat seal additives, for a clean undisturbed final structure forming the most durable, uniform, dependable and attractive welds. |
| Expand products and manufacturing capabilities | ecoGenesis offers the greatest versatility for existing RF equipment in the selection of polar and non-polar plastic materials — from PVC to polypropylene. |
| | RF weld materials as thin as 0.00025 inches. |
| | RF weld nearly any combination of thermoplastic materials in film, foam or fabric layers from a common polymer. |
| Meet regulatory standards and environmental concerns to replace PVC and the use of plasticizers | ecoGenesis enables RF welding with plasticizer-free, biologically inert materials, as it causes polymers with low DLF to respond to RF welding just like PVC. |
| | By manufacturing with "green", phthalate-free plastics, companies can decrease their carbon footprint and promote healthier manufacturing practices. |
Capabilities: Applications for ecoGenesis
After a thorough analysis of the ecoGenesis technology, OmniTech International identified applications across many industries that could be targeted for high-cost raw material or PVC replacement, using the ecoGenesis RF welding technology.
**Medical:** The medical marketplace has expressed concern that toxic plasticizers used to produce the softness and suppleness of PVC films may leach out and also present disposal issues. The list of products that can be fabricated from more easily disposable non-PVC films using ecoGenesis includes IV bags, medical equipment covers, inflatable bladders, blood pressure cuffs, heating blankets, oxygen hoods, eye masks, cooling caps, hot and cold packs, cooling therapy wraps, urine collection bags, body bags, bed liners, gloves and more.
**Automotive:** While the automotive industry still uses RF welded PVC, Polypropylene (PP), Polyethylene (PE) or other low loss replacement materials can be welded using ecoGenesis technology. Applications include air bag sensors, car covers, manual covers, lumbar supports, seat heating and cooling pads, battery insulators, tool kits, sun visors, instrument panels, interior trim and door panels, child car seats and more.
**Consumer Products:** Pressure by environmentalists to replace PVC in the production of infant products is increasingly prompting consideration of other materials for applications including infant booster chairs, high chairs, crib padding, bibs, play mats, toys and mattress covers. Other products that can be fabricated using ecoGenesis include gloves, mattress pads, insulating coolers, duffle bags, reusable shopping bags, camping tents, hydration bags, imitation leather for furniture and other products, photo album sheets, shower curtains, waterbeds and waterproof clothing.
**Military:** Products that potentially could be manufactured with the use of ecoGenesis include protective clothing, helmet pads, duffel bags, waterproof packs, rain ponchos, stealth-like truck covers, oxygen bags, escape slides, military target balloons and life rafts.
**Inflatables:** Almost all inflatables are constructed from PVC or PU and are good candidates for material replacement. Samples include waterbeds, rafts, airplane escape slides, life jackets, swimming pools, furniture, balls, toys, shaped tent-like covers, signs, markers, dock levelers and shipping container insulators.
**Packaging:** Using ecoGenesis technology, many packaging products made of PVC due to low cost and ease of welding can now be replaced with other low cost materials, eliminating criticisms of using PVC. Applications include shielding bags, media packaging and rigid retail packaging (both clear and pigmented) for items such as toothbrush packages, shaver packages, phone and phone accessory packages and countless others.
Contact Genesis Plastics Welding for more information regarding our contract manufacturing services and the licensing of ecoGenesis.
**PHONE:** 317.485.7887
**FAX:** 317.485.7888
720 East Broadway . Fortville, IN 46040
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As we say goodbye to a very good 2015 and we look with inspiration and enthusiasm into this brand new 2016, we´d like to share our achievements, and what we have learned and enjoyed as well as our hopes for the New Year.
Celebrating our achievements
During 2015 we have been inspired by the following challenges:
Engage policymakers in the co-production of relevant knowledge to strengthen the interaction between knowledge and policy, with a special emphasis on agents of change. 2)
Help think tanks strengthen their capacity in what we consider three of the most crucial organisational issues: funding, monitoring, evaluation and learning on policy influence, and designing a policy relevant agenda. 1)
Enhance our understanding on how context at the level of government institutions enables or hinders chance to use knowledge to inform policy. 3)
Commit ourselves to improve how we collaborate with others and how we share our thinking and experience with a wider community.
4)
Achievements
To address these challenges, we have successfully developed the following activities, thanks to good partnerships with others inspired by similar intentions:
1)
We worked with Southern Hemisphere and Kristie Evenson to deliver new rounds of two online courses with the support of the Think Tank Fund and the Think Tank Initiative:
*"Re thinking your funding model". 33
members of 22 think tanks in Africa, Central and Eastern
Europe and Latin America reflected on their own funding model and learned from alternative experiences in order
to strengthen their long term sustainability.
* "Online training to strengthen Monitoring & Evaluation &
Learning on policy influence". 22 think tankers in Africa, Asia and Central and Eastern Europe assessed and enhanced their capacity to monitor, evaluate and learn how their research informs public policies.
'Our organisation is reflecting upon the exercises and materials read throughout the course: we have started a discussion on how to diversify our funding model so as to become more sustainable and not entirely dependent on foreign donors.' (Participant of "Re thinking your funding model" course)
* Designed the innovative and promising "Online course on doing policy relevant research", aimed at helping think tanks enhance their current capacity to design and implement research agendas that are policy relevant, to be delivered in February 2016.
The three efforts counted with the support of the Think Tank Fund and the Think Tank Initiative.
We provided personal mentoring to members of six thinktanks in Central and Eastern Europe to develop new funding strategies that will enable them to walk away from their comfort ones and try out new sources of support, and to design, pilot and implement realistic and strategic MEL plans to enhance their policy influence efforts.
'It was extremely interesting to see that even though we come from different countries and different organizations we had similar as much as different challenges. I learned a lot from others experiences.' (Participant of "Re thinking your funding model" course)
We worked with Southern Hemisphere to deliver the webinar Monitoring, Evaluation & Learning of policy influence: are the results worth the effort? Here we shared our lessons learned as well as pending questions/dilemmas and new ideas to enhance this field.
We worked with Steve Vosti to conduct the External Review of the Chilean think tank Rimisp's Territorial Cohesion for Development Program, with emphasis on Scientific Contributions, Policy Influence and Organisational Development.
'I managed to engage my colleagues in discussions and exercises, which was a welcome pause to reflect on some issues, but also provided me with an external look of the potentials of having this kind of evaluatory talks more often.' (Participant of the "Online training to strengthen MEL on policy influence")
We designed a new online course for Latin American mid-level policy makers, with support of the International Network for the Availability of Scientific Publications and the contributions of avery solid Content Strategy Group made up of eight former or current senior policymakers with a significant academic or research background from different countries in the region:
* We delivered this online course "Leaders of change: developing Latin American policymakers' capacity to promote the use of knowledge in policy" to 24 policy makers in 11 countries in Latin America interested in improving their capacity to use and promote the use of knowledge in policy making and public management.
* With the collaboration of the African Institute for Development Policy (AFIDEP), the course has been adapted to Africa, and will be delivered in the region in March 2016.
'One of the most interesting points of the course was that the content enabled the discussion and analysis in our workplaces.' (Participant of "Leaders of change" course)
* With the collaboration of policy makers in Argentina and Honduras, two case studies on the use of knowledge in policy making were produced.
* We shared lessons of the capacity building activity through a case study on the experience of the course.
'I was able to improve my knowledge of some theoretical aspects related to the use of evidence and also recognize some useful tools like the stakeholders map or ideas to gather and disseminate information.' (Participant of "Leaders of change" course)
We embarked on the study "Going beyond 'Context matters'", supported by INASP, which will be available by 2016.This knowledge systematization effort is being carried out with the crucial help of others: four mentors from Africa, Canada and Latin America, and more than 50 policy makers, practitioners and donors worldwide that have been interviewed by the research team.
The result of this initiative will be two main knowledge products:
* A framework that will help policymakers, researchers, practitioners and donors better define which could be the most attractive windows of opportunity in different contexts and thus focus efforts to promote a better interaction between knowledge and policy.
* An action paper that proposes concrete ways in which the framework can be used. To this end, it proposes a set of practical implications and shares emergent practices based on a systematization of existing experiences of organisations and individuals working in different regions to promote a more solid interaction between research and policy.
'Working with Politics and Ideas as part of their 'Going Beyond "Context Matters"' project has been a fantastic learning experience. Although the framework is still being developed, I have already incorporated their early findings into training sessions with policymakers from Kenya and Malawi.' (Shahenda Suliman, Programme Assistant, Evidence-Informed Policy Making, INASP)
We participated and moderated two sessions in the Think Tank Initiative Exchange 2015. We also reflected on the meeting and invited other participants to share their thoughts collaboration, research quality and communications at P&I's website.
4)
We published more than 60 blog posts at P&I's website on a broad spectrum of issues: Research and Ideas, Politics, Funding, Communications, Policy Influence, Monitoring, Evaluation and Learning, and Capacity development. 43 of these blog posts were written by individual contributors and organisations (think tanks, donors, NGOs, public institutions) worldwide.
'"P&I is a lab for experimenting with new ideas. In 2015 we have been working on a new course on policy relevant research. From discussing a very broad idea, to finalizing the details of the contents and methods, we have followed a participatory approach. Listening to diverse perspectives on the course has improving our approach every step of the way. I am very excited of launching the course and continue developing new ideas on how to better plan and develop policy-relevant research." (Andrea Ordoñez, Researcher Coordinator of Southern Voice)
'Working with P&I has been a lovely way to share knowledge and to learn in the process. They have a fantastic network of people who are motivated and inspiring. Vanesa and Leandro offer great insights and they are well organized.' (Dena Lomofsky, Partner and senior consultant at Southern Hemisphere, South Africa)
We strengthened partnerships with the Think Tank Fund, the Think Tank Initiative, the International Network for the Availability of Scientific Publications, On Think Tanks, Southern Hemisphere, Transparify, the Center for Science, Technology and Policy (CSTEP) in India, and many more organisations around the world.
"Cooperating with P&I colleagues has provided me with a broader global perspective on challenges we all face in developing and using policy research effectively. I have enjoyed the collegial sharing of experiences and the joint learning we have had as we have worked together to design learning tools for a global set of practitioners." (Kristie Evenson, Researcher and Practitioner on Democratic Governance and Civil Society, Central and Eastern Europe)
Connecting with our desires for 2016
A new year is always a good moment to refresh our commitments and be more clear about our intentions. This is what we will look for in 2016:
* Increase our work with policymakers for jointly building cultures and capacities for a more solid interaction between knowledge and policy.
* Deepen our collaboration with policy research institutes and help them strengthen key organizational decisions and actions that enable a larger policy influence.
* Enhance how we incorporate complexity and systemic thinking into our thinking and work, by giving special emphasis to articulation with others and paying more attention to emerging opportunities
'P&I's concern with co-construction of knowledge with researchers, practitioners, policy makers and donors worldwide is a remarkable effort that makes it a very prominent space from where study, discuss, learn and promote better links between policy and research.' (Leandro Echt, member of P&I)
* Continue to work with policymakers, researchers and experts who are truly committed to co-building of relevant and useful knowledge on the interaction between politics and ideas.
P&I´s strategic agenda is inspired by everyone who participates in our discussions and activities. We are just catalyzers: without the objectives, interests, expertise, knowledge and innovative ideas or others our work would not be possible. Promoting a fruitful interaction between knowledge and policy is definitely a collective endeavor and we permanently seek to become the best piece of the puzzle that we can. So thanks to all! (Vanesa Weyrauch, co-founder of P&I)
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Dear colleagues!
Department for Anti-Corruption Policies
of the Rais (Head) of the Republic of Tatarstan
Ministry of Education and Science of the Republic of Tatarstan
Kazan Innovative University named after V. G. Timiryasov (IEML)
invite you to participate in
The XIV th International Scientific and Practical conference
"The Anti-corruption Dialectics"
(Kazan, the 15 th of November 2024)
The Conference is interdisciplinary and inter-sectoral in pattern.
The main topics of the Conference:
- The concept, signs, forms and scope of corruption in the modern environment.
- Monitoring of corruption and the efficiency of anti-corruption measures.
- Corruption risks and means of overcoming them.
- Corruption prevention, it's organisational, legal and victimological aspects.
- Fighting corruption crime and its efficiency.
- Corruption anthropology.
- Anti-corruption subjects and their organisational and legal status.
- Countering corruption in municipalities.
- Anti-corruption standards and anti-corruption requirements (prohibitions, restrictions and obligations).
- Mechanisms and procedures for preventing, identifying and resolving conflicts of interest.
- Anti-corruption planning.
- Anti-corruption expertise.
- Anti-corruption audit.
- Anti-corruption enlightenment.
- Anti-corruption education.
- Anti-corruption propaganda.
- Anti-corruption inspections.
- Anti-corruption encouragement.
- Economics of corruption and reduction of corruption risks in economic activity.
- Anti-corruption compliance and specificity of anti-corruption in organisations.
- Anti-corruption culture and anti-corruption worldview.
- Anti-corruption psychology.
- Anti-corruption theology.
- Prosecutorial supervision of compliance with the anti-corruption legislation.
- Public and parliamentary control over the implementation of the anti-corruption policy.
- Information support of the state anti-corruption policy.
- Information technologies and anti-corruption.
- Responsibility for committing corruption offences.
- Anti-corruption procedural law.
The official languages of the Conference are Russian, Chinese and English.
The Conference will be held in a mixed face-to-face and remote format using videoconferencing. A compilation of materials and other publications will be published as a result of the Conference.
Applications for participation, including those without a paper, are to be accepted until the November 1 st , 2024 only through the online registration form on the official Conference website: https://ieml.ru/enlightenment/dialektika/
A Conference participant may send:
– the materials of their paper for the Conference compilation of materials through the mentioned online registration form,
– or a scientific article for the scientific journal "Russian Journal of Economics and Law", included in the K1 category list of peer-reviewed scientific publications approved by the Higher Attestation Commission under the Ministry of Science and Higher Education of the Russian Federation, through the additional registration on the journal official website, in full compliance with its requirements for authors: https://www.rusjel.ru/jour/index
The materials compilation of the Conference participants is to be published on the basis of review and competitive selection by the Conference editorial board.
Manuscript formatting: the volume of a paper should be no more than 6 pages, including the abstract and keywords. The paper format – RTF. The font – Times New Roman, the font size – 14. The page format – A4. The margins – 2 cm. The interline spacing: one and a half. The first line indent: 1 cm. The footnotes: regular with automatic numbering. The letter spacing: regular. At the beginning of the text the author indicates full name, academic degree, academic title, place of work and position of the participant, title of a paper.
The abstract and keywords are written both in Russian and English languages.
The abstract should not exceed 250 words. It should be structured and include: purpose, methods of the research, research results, scientific novelty and practical significance.
Keywords should include at least 3 and no more than 15 words, which are typed in a line separated by commas, without a point at the end.
Requirements for the scientific article format for the journal: the recommended volume – from 40,000 printed characters, including spaces (without an abstract and a reference list). Additional rules and requirements are on the journal official website: https://www.rusjel.ru/jour
Participation in the conference is free of charge.
Travel and accommodation of non-resident Conference participants are at the expense of the sending party. Please inform us about the form of participation by the November 10, 2024.
The Conference venue and time:
November 15, 2024 – The assembly hall of Kazan Innovative University named after V. G. Timiryasov (IEML) (15 Zaitseva St., Kazan)
Contacts:
Mr. Kirill Tomashevsky, Dr. of Law, Professor, Deputy Dean for research of the Law Faculty of the Kazan Innovative University named after V. G. Timiryasov (IEML) Contact number: +7 (843) 2319290 (IP 1495). E-mail: [email protected]
Ms. Adelina Gilyazutdinova, employee of the Anti-Corruption Research Institute of the Kazan Innovative University named after V. G. Timiryasov (IEML) Contact number: +7 (843) 2319290 (IP 1383). E-mail: [email protected]
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SFTR TRADE BLOTTER 1
Fee Schedule
APPLICABLE FROM 01 JANUARY 2021
1 This Fee Schedule, together with the relevant Order Form, MTS Terms and Conditions and MTS Policy Schedule constitute the entire agreement between EuroMTS Limited and the Data customer regarding the provision of the MTS Data. Capitalised terms used herein shall have the meaning defined in the MTS Data Policy Schedule.
1 | SFTR Trade Blotter - Fee Schedule
SFTR Trade Blotter
| Product License | Monthly Fee |
|---|---|
| Intraday via GUI/Direct License | €500 |
Terms
* All prices are exclusive of VAT
Contacts
Should you require Data or services different from the ones described in this Fee Schedule or should you have any queries, please feel free to contact us:
T: +44 (0)20 7797 4100
E: [email protected]
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OUR MISSIONARY FAMILY
◗ The Susquehanna Mission Leaders Brunch will be held Monday, October 20 th at Dutch Way Restaurant along Route 422, just east of Myerstown. It will begin at 10 a.m. and end by 11:30, and is 'Dutch treat.' This is open to anyone who wants to hear an update on what's happening in our EC churches around the world. Reservations are requested so we can have a head count. Contact the GMC office by October 6 th if possible – phone 1 (800) 866-7584 or email to [email protected].
◗ A Spain Vision Tour group of five people will be going over for a week with Ron and Brenda Anderson, and then BJ and Rachel Whitaker. The idea of a vision tour is to see the missionary's work and encourage them. There will be prayer walks and English classes as a form of outreach, as well as fellowshipping with the evangelical Christians in several churches.
◗ Ken Sears spent several weeks in August visiting his family in TX. Due to the escalation of the tensions between Ukraine and Russia, in addition to some health issues, Ken postponed his return to Ukraine until early this month. Please keep Ken and the situation in prayer so that he can return safely to his duties in Zaporozhye Bible College in eastern Ukraine.
◗ Congratulations to Rev. Nathan Kennedy on his ordination on Septem ber 7 th . Nathan is one of our GMC board members, and is the pastor of our Ebenezer EC Church in Jim Thorpe. Blessing to Nathan, Katie and their family!
◗ Jim and Joan Farr head out early this month to their village home to continue work on the translations for the Baruga people. The Farrs will be in village until December.
◗ Likewise, Jonathan and Kathy Wilson will also be heading back to their village of Nindewari to work on their translation for the Binandere people. Pray for traveling mercies for both the Farrs and the Wilsons – trips to the villages involve a lot of preparation, time and distance.
◗ Gloria Smethers had the opportunity to spend a few weeks in Kenya in September to attend the dedication of a New Testament translated by her cousins Jim and Sue Ness. She also hoped to meet up with some of the believers from Kalacha, the area in northern Kenya where she had been serving.
GLOBAL MINISTRIES COMMISSION
OF THE EVANGELICAL CONGREGATIONAL CHURCH
EC GLOBAL PRAYER GUIDE
O C T O B E R 2 0 1 4
E.C. CHURCH OF INDIA
About 35% of the local Manipur population is Christian and Christ's move ment in the region is unmistakable. Still, residual hate from a 1990s civil war hampers outreach by Christians to local Muslims and Hindus. Drug addiction and HIV are becoming major issues in the region and the E.C. Church is work ing hard to implement educational programs to help combat these problems.
S ensitive to the fact that each region of the diverse nation of India has its own unique culture and needs, the Evangelical Congrega tional work in India exists primarily in the state of Manipur, located in the hills of Northeast India. Ministering to the local tribal groups whose traditions are closely related to the Burmese (Myanmar) culture, the E.C. church has had a presence in India since 1966.
Committed to reaching the world for Christ, the Evangelical Congregational Church of India (ECCI) has six conferences, with a total of about 60,000 mem bers. ECCI's Department of Missions and Evangelism ministers in the neigh boring states and countries of the region. Evangelical College of Theology, the Bible College and Seminary of ECCI's members also trains men and women from over 20 different denominations and faith traditions.
ECCI's six conferences send out over 200 missionaries who work in three countries besides India: Nepal, Myanmar, and Mongolia. They work among more than 25 language groups that represent five different religious groups. Please con tinue to pray for our leaders, pastors and workers in India, that they may continue to reach their fellow countrymen and those of surrounding countries with the true Gospel of Jesus Christ.
—Pat Strain
O C TO B ER PR AY ER CALEN DAR INSIDE
EC GLOBAL PRAYER GUIDE
OCTOBER 2014
SUNDAY
5
PRAYER NEEDS
12
PRAYER NEEDS
19
PRAYER NEEDS
Conference Minister
Rev. Gary Kuehner
26
PRAYER NEEDS
– Mary Ellen Davis *
– Rev. Jim Bound *
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FOR IMMEDIATE RELEASE
THE MONTGOMERY MUSEUM OF FINE ARTS
AND ENCHROMA IMPROVE ARTS EXPERIENCE
FOR COLOR BLIND VISITORS
The Montgomery Museum of Fine Arts to Offer EnChroma Color Blind Glasses to Enable Accessibility to the Arts.
Montgomery, AL, September 26, 2022 – The Montgomery Museum of Fine Arts today announced that color blind visitors are now able to borrow EnChroma glasses for color blindness during visits to the museum.
One in 12 men (8%) and one in 200 women (.5%) are color blind—13 million in the US, 30 million in Europe, and 350 million worldwide. With an annual attendance of over 40,000 visitors and growing, an estimated 1,700 guests to the Montgomery Museum of Fine Arts are color blind. EnChroma glasses will enable color blind visitors to perceive an expanded range of clear, vibrant color in artwork at the museum for the first time in their lives.
“The Montgomery Museum of Fine Arts is thrilled to offer people with color blindness the opportunity to try EnChroma glasses during their visit to our galleries. We are deeply committed to being a place that is welcoming to all and this is another step in a long journey to address issues of diversity, equity, access, and inclusion here at the Museum,” said Emily Stuart Thomas, MMFA Head of Learning and Programs. “In addition to the program we will be hosting on Saturday, September 30 in recognition of Color Blindness Awareness Month, our EnChroma glasses will also be available to visitors who schedule tours through our website. Visitors can learn more about accessibility at the MMFA by visiting our website, mmfa.org/plan-your-visit.”
While people with normal color vision see over one million shades and hues of color, color blind people see only an estimated 10% of them. To the red-green color blind, colors appear dull and washed out, with some difficult to distinguish from each other. Common color confusions include green and yellow, gray and pink, purple and blue, and red and brown. This can detract from the ability of color-blind people to fully experience colorful art.
“The fact that the Montgomery Museum of Fine Arts, which has been a source of artistic inspiration and education for the community for nearly 100 years, and is located in such a historic city, has made its artwork more accessible and inclusive to those who are color vision deficient is particularly rewarding,” said Erik Ritchie, CEO of EnChroma. “Visitors to MMFA who are color blind will find their experiences enriched and more memorable as this partnership enables them to more fully enjoy the colors that those of us with normal color vision generally take for granted.”
The Montgomery Museum of Fine Arts joins a growing list of renowned cultural institutions to support the needs of color-blind guests via the EnChroma Color Accessibility Program™. The program already helps color blind people at nearly 400 public institutions—including libraries, schools, universities, national parks, gardens, tourism bureaus and 80+ major museums—more fully experience colors in art, nature and overcome obstacles to learning. Other museums participating in the program include the Gallerie d’Italia in Italy, the Chau Chak Wing Museum in Australia, Centraal Museum Utrecht in The Netherlands, and the Georgia O’Keeffe Museum, Dallas Museum of Art, and Crystal Bridges Museum of American Art in the US.
Special optical filters in EnChroma glasses help color blind people perceive a wider range of colors and to see them more vividly and distinctly. A study by the University of California, Davis, and INSERM, the French National Institute for Health and Medical Research, demonstrated the
effectiveness of EnChroma glasses. A separate recent study in the scientific publication *Eye-Nature* also highlights the benefits of the glasses.
**RELATED PROGRAMS**
**Making Color Accessible**
Saturday, September 30, 2023; 1–2 PM
Free, open to the public
In recognition of Colorblind Awareness Month, we are offering a color accessibility program for visitors who are colorblind and their families. This intergenerational program will include a tour of the Museum’s collection that focuses on the experience of color. During the tour, visitors may borrow EnChroma glasses, which are engineered with special optical filters that help the color blind see an expanded range of colors more vibrantly, clearly and distinctly.
**SUPPORT + ACKNOWLEDGEMENTS**
Annual support for programs is made possible by the following sponsors and grantors. Lead sponsors and grantors Alabama Power Foundation, Alabama State Council on the Arts, Carr, Riggs & Ingram, LLC, Copeland Franco Screws and Gill, Ms. Caroline J. Crook, The Ford Foundation, Mr. and Mrs. Barrie H. Harmon, III, Hyundai Motor Manufacturing Alabama, Lamar, Medical Properties Trust, Inc., Poarch Band of Creek Indians and Mrs. Helen Till, with additional support from sponsors Cathy Caddell and Charlie Warnke, Drs. Gerri and Stuart Hendon, and co-sponsors Dr. and Mrs. Sanders M. Benkwith, Hodges Warehouse + Logistics, Mr. and Mrs. Hans Luquire, River Region Parents, Mr. and Mrs. Nelson F. Smith, Jr. and Standard Commercial Roofing and Envelope Solutions.
**ABOUT EnChroma**
Based in Berkeley, Calif., EnChroma produces leading-edge eyewear for color blindness and low vision, and other solutions for color vision, sold online and through Authorized Retailers worldwide. Invented in 2010, EnChroma’s patented eyewear combines the latest in color perception, neuroscience and lens innovation to improve the lives of people with color vision deficiency around the world. EnChroma received an SBIR grant from the National Institutes of Health (NIH). It earned the 2016 Tibbetts Award from the U.S. Small Business Administration in recognition of the firm’s innovative impact on the human experience through technology, and the 2020 Innovation Award in Life Sciences from the Bay Area’s East Bay Economic Development Alliance. Visit enchroma.com to learn more.
**MMFA BACKGROUND**
The Montgomery Museum of Fine Arts was founded in 1930 by a group of local artists as a place for both exhibiting art and space for art education. The original intentions of our founders—to exhibit and teach—continue to inspire and inform every action and activity here at the Museum which, since 1988,
has shared the 277-acre Blount Cultural Park with our partners across the lake at the celebrated Alabama Shakespeare Festival.
Today’s MMFA visitors stroll through art-studded grounds and permanent collection galleries. They see compelling changing exhibitions and learn about art by playing in our interactive gallery, ArtWorks, making art in its bustling studios, or by participating in other engaging events and programs. And, as of late September 2018, MMFA visitors can now relax and recharge in the serenity of our stunning new three-acre sculpture garden.
While the Museum’s collection is still home to the art of many of the regional artists who first established it, over time it has become known for its strength in American art and Old Master Prints. Recent, important acquisitions of art made by African American and Asian artists and works inspired by images and themes related to the experiences of these groups represent the breadth and depth of the lives and concerns of those who now call Montgomery and the River Region home. Through the exhibition of this work as well as the programs and events that help connect our communities with it, the MMFA is recognized as a leading arts and cultural resource here in the state and Southeastern region.
The MMFA is a department of the City of Montgomery and is supported by funds from the City of Montgomery, with additional funds from the Montgomery County Commission and the Montgomery Museum of Fine Arts Association. Programs are made possible, in part, by grants from the Alabama State Council on the Arts.
GENERAL INFORMATION
WHAT: Making Color Accessible
WHEN: Saturday, September 30, 2023; 1–2 PM
WHERE: Montgomery Museum of Fine Arts
Wynton M. Blount Cultural Park
One Museum Drive
Montgomery, AL 36117
INFORMATION: mmfa.org
334.625.4333
@MontgomeryMFA
HOURS: Galleries, ArtWorks, Sculpture Garden, Terrace, and Shop
Mondays, Closed
Tuesdays–Sunday, 10 AM–5 PM
Last entry at 4:45 PM
ADMISSION: Free! With ample, free parking.
###
MEDIA CONTACT
Stephen Hayes: [email protected] | 334.625.4347
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Total support for food plants and distribution centers
Our support system uses the GALILEI GROUP network to offer design, construction, and maintenance services
We provide a wide range of support according to customer needs through the engineering capabilities of the GALILEI GROUP.
FUKUSHIMA GALILEI CO.LTD.
We will listen to the future visions, current issues, and requests that our customers think, and we will create the optimal environment from the same perspective as our customers. These proposals have been cultivated through proposal activities for the showcase business and refrigerator business, which are our main businesses.
By applying and developing the know-how and technology of a wide variety of product groups, we will realize engineering links that are possible only from manufacturers.
FUKUSHIMA GALILEI'S engineering business aims to be an engineering link that is useful to our customers and contributes to society.
TAKAHASHI GALILEI CO.LTD.
In 1961, we developed, designed and manufactured the world's first continuous quick-cooling, quick-freezing system. In this system, the tunnel's inlet and outlet can be kept open without cool air leaking. Over 60 years since then, the Tunnel Freezer® has been renovated and redesigned for marketing around the world. Challenging all the time for safety and security, the GALILEI people have been keeping customers close to our heart, with Tunnel Freezer® first in mind.
GALILEI PANEL CREATE CO. LTD.
Due to the rise in awareness of the customer’s environment, safety, and security, the needs required by sanitation management and temperature control are becoming more and more advanced. Using the panel technologies and system engineering cultivated over many years, we contribute to society by meeting customer needs with “environmental creation” technologies that provide high-quality “freezer and refrigeration spaces” and “clean work spaces.”
SHOKEN GALILEI CO. LTD.
Always since its foundation, SHOKEN GALILEI Co. Ltd. has been researching and developing production line machinery and equipment with labor and energy saving in mind. In today’s whirlwind of changes, the SHOKEN GALILEI engineers have been coming up with unheard-of technology and creative ideas in response to production system innovations. For delivering superior products, they are doing tireless activities. The SHOKEN GALILEI people are committed to delivering factory automation systems to meet customers’ needs today and tomorrow.
The FE Clean Water is a mildly alkaline aqueous solution that mainly consists of sodium hypochlorite evolved electrolytically from saline solution. It can be employed to sterilize foodstuff and kitchen utensils.
Easy installation type (generation capacity 8.0 ℓ/min · 40ppm~), optimal aquarizer for food factories Maximum production amount 258 tons/day (at 30ppm setting), etc.
We will design it according to the maximum amount of water required.
It has evolved into an ultra-compact with the rapid freezing/cooling system unchanged. It is a new tunnel freezer that allows you to freely layout multiple units.
It can be used not only as a single unit, but also in a variety of arrangements such as connecting multiple units and using a L-shaped connection module.
An alcohol freezer is recommended for customers related to meat and fisheries. Immerse in an alcohol brine at -35°C and freeze about 20 times faster than air blasting.
Minimize ice crystals, resulting in high quality freezing with high reconstitution during thawing.
It is a batch type and can handle a wide variety of small quantities, and can be installed with limited space even by customers.
The product is loaded into the freezer while it is still mounted on the trolley, and it is cooled and frozen. It is also possible to create a dedicated trolley or use a weight according to the front and rear process of the freezer.
The structure is assembled with a heat insulation panel in which urethane foam is sandwiched by steel plates. High-precision heat insulation panel required for Tunnel Freezer®.
Avoids food product deterioration, seals in the good taste.
**Blast Chiller / Shock Freezer**
Blast chiller is a device for rough heat removal, rapid cooling, and quick freezing. As it can contain freshly heated food, it will hold the moisture, scent, and color that you missed along with the steam, making it juicy without losing the flavor of the ingredients.
The blast chiller with an automatic cleaning function can reduce the cleaning work time by automatically performing rinsing and drying.
Control indoor air cleanliness
**Clean room**
It manages room temperature, humidity, room pressure, air flow, etc. according to the required conditions. For example, the pressure difference between the rooms is adjusted by the differential pressure sensor and the differential pressure damper so that the pressure of inside the room is always maintained at a constant positive pressure. By pressurizing the room, it prevents entering the dust from the outside. In addition, a HEPA filter is installed in the part that takes in the outside air, and invisible dust can be removed. We ensure air cleanliness by observing the four principles; not bringing in, not generating, not accumulating, and eliminating foreign matter.
Automate your casing processes
**Casing Line System**
This mechanical casing system integrates into production lines and features a suction system for automated casing processes. The system is ideal for businesses looking to free themselves from manual casing work and those who are wary of adopting a robotic system. Integrate this system into your processes and reduce labor in your casing facilities.
Sweet potatoes: proper curing improves quality, shelf life
**Sweet potatoes:Curing room**
The curing process is to heal any abrasions or bruises of the sweet potatoes sustain during harvesting. As the sweet potatoes cures, a corky layer of cells develops just below the surface of the abrasions, which serves as a barrier against disease-carrying organisms. Sweet potatoes stored in cool, constant conditions have a shelf life for a long term.
Thaw a large amount
**Prefabricated defroster**
By uniformly applying a large amount of high-humidity air, even large volumes can be thawed without unevenness. Achieved high quality thawing with less drip by suppressing the drying and discoloration of food ingredients. Since the temperature can be set in the range of -15°C to 30°C, it is possible to set the optimum temperature according to the food. Compared to thawing in a refrigerator, it can be thawed in a shorter time and does not require draining after thawing with running water.
The program can be started from the frozen storage state, and after the crimping process, it will be refrigerated storage operation until it is taken out. It can also be used as a refrigerator because it can be operated independently in each process.
Freezing and refrigerating with one unit
**Wide temperature range commercial refrigerator**
One unit can handle a wide range of temperatures. This is a commercial refrigerator/freezer that can be used according to the season and menu. It is possible to switch between freezing (-25°C to -15°C) and refrigeration (-5°C to 10°C) with a single switch. Freezing and refrigeration can be switched in both the right and left chambers with independent control. It can be used in 4 patterns.
Unique panel structure with excellent heat insulation improves economic efficiency
**Non-Freon Insulation Panel econea**
Since December 2019, all thermal insulation panels and non-combustible thermal insulation panels produced at the Hikone, Shiga plant have switched to "non-fluorocarbon panels" using a new "HFO (hydrofluoroolefin)". Foaming agent in anticipation of next-generation global environmental protections, we began researching products which do not use alternative fluorocarbon five years ago and realized the development of the high-performance "econea" series. We will meet the needs of non-combustible products, from food processing rooms to freezers and refrigerators.
For product development that ensures safety and security
**Voluntary inspection of food**
Food safety cannot be said without scientific verification. It is important to scientifically verify and record the quality of each process and feed back the results to the site in a timely manner. Conventional bacteria testing is a difficult task. However, in recent years, kits that can easily test bacteria have evolved and are becoming easier to use. For daily monitoring, it is recommended that you conduct your own food microbiological inspection and regularly inspect at an external inspection agency. We will propose an inspection plan according to your request.
Ceiling panel with line lighting for interior
The joint of the heat insulation panel has a T-bar structure, and LED line lighting is embedded and integrated with the panel ceiling. There is a high degree of freedom in the layout of the ceiling surface, and flexible support is possible. Since the process and construction are simple, the construction period can be shortened. Furthermore, the space above the ceiling can be walked for inspection and work. It is also safe in terms of maintenance.
Innovative freshness control
"F's eye" management system for food plants and low temperature warehouses
F’s eye provides start/stop control and status monitoring of all machinery within a facility to help achieve stable equipment operation. Moreover, it can significantly reduce the time and effort spent by equipment managers through centralized management of temperature and equipment data on a PC.
Secure food safety management with IoT
HACCP ExAround
HACCP temperature management system that automatically monitors and records the temperature of the refrigerator for 24 hours. The key to HACCP is to keep a record. However, it takes time and labor to check and manage the records. In addition to temperature recording and monitoring, central monitoring, automatic recording, and automatic notification when an abnormality occurs, help HACCP management.
Refrigeration and freezer equipment operating status and error 24/7 remote monitoring maintenance contract
Snet24
Advantages of implementing S Net 24 is signing a maintenance contract can limit the occurrence of sudden repair costs. Verifies and optimizes the configuration, operating status, and energy usage of each piece of equipment. Enables the optimization of each store according to its environment and characteristics. Support can also be provided for reduction plans corresponding to revised Energy Conservation Act together with maintenance.
CO2 refrigerant is a next-generation, natural refrigerant with the highest level of safety.
CO2 refrigerant is an extremely environmentally friendly refrigerant that has almost no effect on global warming.
It has a high energy-saving effect and contributes to a 10-15% reduction in power consumption compared with conventional refrigerants.
|
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NEW PATIENT REGISTRATION
Date: _________________________________ Social Security #: _______________________________
Name: ______________________________________________________________________________
(First)
(MI)
(Last)
Address: ______________________________________________________________________________
(No./Street Name) (City)
(State) (Zip Code)
DOB: __________________________________Age: ____________
Email Address: _________________________ May we contact you through e-mail? Y N
Marital Status:
Married
Single
Other ___________________________
Race:
Sex:
Preferred Language: ________________________________
Ethnicity: Non-Hispanic or Non-Latino: Y NHispanic or Latino: Y N
Cell Phone:_________________________________________________
Home Phone: ______________________________________________
May we contact you at all of the above numbers? Y N
Best Contact number we can keep on file (Preferred method of contact) _________________________
Employed: Y
N Occupation: _________________________________________________
Employer's Name: _____________________________________________________________________
Date of Onset/Description of Problem/Duration of Problem:
_____________________________________________________________________________________ _____________________________________________________________________________________
Emergency Contact Information:
Please Note: This is a Confidential record of your medical history and will be kept in this office. Information contained here will not be released to any person except when you have authorized us to do so.
Referring Physician: ____________________________________________________________________
Phone Number: ______________________________Address: __________________________________
Primary Physician: _____________________________________________________________________
Phone Number: ______________________________Address: __________________________________
Which of your Doctor(s) would you like to receive a letter from our Practice?
Please provide as much information as possible:
FINANCIAL POLICY
We are committed to providing you with the best possible care. To achieve this goal, we need your assistance and your understanding of our payment policy.
We are Blue Cross/Blue Shield and Medicare participating providers as well as participating providers with several other insurance plans/networks. Not all services are a covered benefit by all insurance companies. Any services not covered by your insurance will be your responsibility. It is your responsibility to check with your insurance carrier regarding pre-certification and/or second opinion coverage, procedures or clinical studies. Should you need any assistance, our staff will be happy to help you.
Your insurance is a contract between you and the insurance company. If your insurance company requires a referral form, this must be brought at the time of the visit. If it is an electronic referral, it would be greatly appreciated if you would bring in the referral number. If you do not bring the referral, we will need to reschedule your appointment or you can pay for the charges on that day. Without referrals, we cannot bill your insurance company and, therefore, the patient is billed directly. Patients are responsible to make "co-pay" payments the day of service.
All charges are your responsibility from the date the services are rendered. We realize that temporary financial problems may affect timely payment of your account. If such problems do arise, we encourage you to contact our billing department promptly for assistance. There are many options the billing department can offer such as payment plans, co-pay foundations, and drug co-pay cards.
I understand that fees for services rendered by any physician and/or employee of VITA Medical Associates, P.C. are payable to same by myself or my insurance carrier (if assignment of benefits is not accepted, I understand I am responsible for the remaining balance, including deductibles or copayments, upon receipt of the first billing statement). I authorize VITA Medical Associates, P.C. to release to my insurance company any information necessary to complete claims. I further authorize payment of medical benefits by my insurance company to VITA Medical Associates, P.C.
Patient or Guardian's Signature: ______________________________ Date: ______________________
Print Name: _______________________________________________
Witness Signature: _________________________________________ Date: ______________________
INSURANCE INFORMATION
Primary Insurance: ____________________________________ ID#: ____________________________
Address: _________________________________________ Phone No.: __________________________
Subscriber: _______________________ DOB: _________________ S.S. #: _______________________
Secondary Insurance: ____________________________________ ID#: _________________________
Address: _________________________________________ Phone No.: __________________________
Subscriber: _______________________ DOB: _________________ S.S. #: _______________________
Tertiary Insurance: ____________________________________ ID#: ____________________________
Address: _________________________________________ Phone No.: __________________________
Subscriber: _______________________ DOB: _________________ S.S. #: _______________________
INSURANCE RELEASE
I hereby authorize VITA Medical Associates, P.C. to release any information necessary to process my insurance claims acquired in the course of my examinations or treatment; and allow a photocopy of my signature to be used to process my insurance claims until I revoke this usage in writing. I authorize and direct my insurance carrier to issue payment checks directly to Vita Medical Associates, P.C. In the event that my insurance carrier does not pay in full, I understand that I am ultimately financially responsible for any and all fees incurred and I agree to pay such fees in full. If I do not fulfill my contractual obligations with my insurance company, I understand that Vita Medical Associates, P.C. will forward my account to an outside collection agency for processing. The insurance information furnished here represents full disclosure of the insurance/third party benefits to which I am entitled. I understand that failure to disclose precertification/second opinion requirements, for any and all plans to which I subscribe, may cause me to incur full liability for professional charges as a result of non-payment by any of my insurance carriers.
Signature of Patient/Responsible Party: _____________________________________ Date: _____________
Print Name ____________________________________________________________
PHARMACY INFORMATION
Pharmacy Plan Name: ___________________________________________________________
Policy No. _____________________________________________________________________
Pharmacy Name: _______________________________________________________________
Pharmacy Phone No.: ____________________________________________________________
Pharmacy Fax No.: (if known) ______________________________________________________
REQUEST TO RELEASE MEDICAL RECORDS
Date: ___________________________
I, (Patient's Name) __________________________________________ DOB: ______________________ authorize the release of my medical records or copies of such to:
VITA Medical Associates, P.C.
306 S. New Street, Suite 201 Bethlehem, PA 18015
Phone: (610) 866-0113
Fax: (610) 974-8589
o Initial History/Physical
o Operative Reports
o Colonoscopy Reports
o EGD Reports
o Pathology Report
o Laboratory Reports
o Radiology Reports (CTs, MRIs, X-rays, PET/CT, Mammograms, MUGA scan)
o Radiation Treatment Records
o Chemotherapy/Treatment Records
o Hospital Records
o Pathology Slides
o Other (please specify) __________________________________
Specific Requests:
_____________________________________________________________________________________________ ____________________________________________________________________________________________ _____________________________________________________________________________________________
Signature of Patient: ___________________________________________________________________
Records must be received by: _________________________________________________________________
(Date)
COMBINED ACKNOWLEDGEMENT AND CONSENT ACKNOWLEDGEMENT OF RECEIPT OF NOTICE AND CONSENT TO USE AND DISCLOSE HEALTH INFORMATION
Please read before signing the Acknowledgement and Consent
This acknowledgement of notice and consent authorizes VITA Medical Associates, P.C. to use and disclose health information about you for treatment, payment, and healthcare operations purposes.
Notice of Privacy Practices: VITA Medical Associates, P.C. has a Notice of Privacy Practices, which describes how we may use and disclose your protected health information and how you can access your protected health information and exercise other rights concerning your protected health information. You may review our current notice prior to signing this acknowledgement and consent.
Amendments: We reserve the right to change our Notice of Privacy Practices and to make the terms of any change effective for all protected health information that we maintain, including information created or obtained prior to the date of the effective date of change. You may obtain a revised notice by submitting a written request to our Privacy Officer.
How to Contact our Privacy Officer
Mail:
VITA Medical Associates, P.C. ATTN: Privacy Officer 306 S. New Street, Suite 201 Bethlehem, PA 18015 (610) 866-0113 (610) 974-8589
Telephone:
FAX:
Acknowledgement and Consent
Print or Type all information except for Signature
I have received the Notice of Privacy Practices for VITA Medical Associates, P.C. and authorize them to use and disclose health information about ______________________________________ (Patient's Name) for treatment, payment and healthcare operations purposes consistent with its Notice of Privacy Practices.
____________________________________________________ _______________________
Signature of Patient (or Patient's Personal Representative)
Date
Personal Representative Information (if applicable):
_____________________________________________________________________________________
Name of Personal Representative Authority)
Relationship to Patient (or Other
COMMUNICATION CONSENT
It is the office policy of VITA Medical Associates, P.C. and staff not to release confidential and/or unauthorized information by home telephone, answering machine, work telephone, voice mail and/or cell phone number. Whenever returning telephone calls and the answering machine picks up, we do not leave a message if the name or telephone number is not on the recorded message to identify the residence. Also, information will not be left with an unauthorized person who may answer the telephone.
I authorize VITA Medical Associates, P.C. and/or their staff to leave medical information pertaining to my care by the following methods and will assume responsibility to notify them whenever this information changes:
Cell Phone and/or Voice Mail: _______________________
Yes
No
Work Phone and/or Voice Mail: ______________________
Yes
No
Home Phone/or Voicemail: __________________________
Yes
No
E-mail Address: __________________________________
Yes
No
Send/Receive Medical Records/Electronic Prescription History for Referrals to Other Doctor's Facilities
Yes
No
If you would like to have information released to someone other than yourself, please complete the following:
Please list the names of authorized people:
Spouse: ____________________________________________ Phone: ___________________
Life Partner: ________________________________________ Phone: ___________________
Other Names (Please list relationships such as boyfriend, fiancé, girlfriend, sister, brother, etc.)
Yes
No
Other: ____________________________________________ Phone: _________________________
Other: ____________________________________________ Phone: _________________________
Printed Name: ______________________________________
Patient/Guardian Signature: ___________________________ Date: ___________________________
Please Bring All Your Medicine Bottles to Your Next Appointment
Please make sure you bring (in the original container)…
All your medicines from
All your doctors!
□ Prescription and non-prescription medications.
□ Medicines you buy without a prescription (like Tylenol® or cold medicine).
□ Ointments or Creams.
Even Medicines you don't take all the time!
□ Eye drops.
□ Inhalers.
□ Injection syringes.
This is extremely important because it…gives you a complete medicine list that can be shared with other doctors and hospitals, but most importantly, avoids medication errors.
|
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|
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Golf Club Grip Replacement
This guide will help you remove your old and worn out golf club grip and learn how to put on the new grip.
Written By: Skylar Nichols
© iFixit — CC BY-NC-SA
www.iFixit.com
INTRODUCTION
For this Fast Fixit you will be taking off a worn or old golf grip and replacing it with a new one. In order to do this we will be cutting the old grip off and putting an adhesive solution along with tape onto the golf club in order to attach the new grip.
TOOLS:
PARTS:
Utility Knife (1)
Double Sided Grip Tape (1)
Golf Tee (1)
Bowl (1)
Golf Grip Solvent (1)
© iFixit — CC BY-NC-SA
Golf Club Grip (1)
www.iFixit.com
Step 1 — Grip
Place the golf club securely on a level table.
Using a blade or knife, cut a line through the grip.
Step 2
Remove the grip from the golf club shaft.
© iFixit — CC BY-NC-SA
www.iFixit.com
Step 3
Use the knife to take off any excess residue from the shaft of the club.
Step 4
Apply the double sided tape to the bare shaft in a spiral pattern.
Use the grip to determine how far up the shaft the tape needs to go.
© iFixit — CC BY-NC-SA
www.iFixit.com
Step 5
Remove the tape backing.
Step 6
Place a golf tee in the hole at the end of the golf grip.
© iFixit — CC BY-NC-SA
www.iFixit.com
Step 7
Pour a generous amount of adhesive into the opposite end of the grip.
Squeeze together the open end of the grip.
Lightly shake, in order to spread the adhesive within the grip.
Step 8
This document was generated on 2019-09-19 03:20:53 AM (MST).
© iFixit — CC BY-NC-SA
www.iFixit.com
Over a bowl or container, pour adhesive in the grip onto the shaft of the golf club.
Step 9
Remove the tee from the back of the grip.
Push the grip onto the golf club shaft.
Ensure that the end of the grip is hitting the end of the shaft.
Step 10
This document was generated on 2019-09-19 03:20:53 AM (MST).
© iFixit — CC BY-NC-SA
www.iFixit.com
Allow to dry at least 12 hours before use.
After allowing the club to properly dry, you will have a new grip to improve your swing at tee off.
© iFixit — CC BY-NC-SA
www.iFixit.com
|
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|
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|
2020-10-26T03:15:46+00:00
|
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| 386,250,453
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